Compliance Officer - Private Equity/Venture Capital Firm

Position Name - Compliance Officer

Location - Gift City, Gandhinagar

Experience Range - 5+ years

About Company - Company is a global specialist banking and wealth management firm with a strong presence in India. It provides services in corporate and investment banking, capital markets, and asset management, focusing on delivering tailored financial solutions for high-net-worth clients and corporates.

Mandatory Requirement:

- Experience in compliance with IFSC AIF regulations and spearhead compliance and risk management activities at the GIFT City branch office.

- Experience in identification of compliance requirements for IFSC & AIF compliances.

About the client:

The company is a privately held global firm specializing in real estate investment, development, and management, with offices in Gurugram, Mumbai, and Bangalore. It also offers property-level services to third-party clients.

Job Roles and Responsibilities:

- Ensure compliance with IFSC AIF regulations and spearhead compliance and risk management activities at the GIFT City branch office.

- Ensure identification of compliance requirements for IFSC & AIF compliances.

- Stay informed about the latest regulatory changes and requirements, particularly those related to the SEZ Act and AIF IFSC Guidelines.

- Prepare, analyze and Vet various reports, quarterly compliance reports for presentation to the Board and regulators.

- Maintain all statutory registers and secretarial records.

- Assist in organizing and maintaining documents related to AIF investments in GIFT City, ensuring accurate reporting to the Trustee, contributors, and regulators.

- Manage statutory filings and submissions for AIF in GIFT City, specifically overseeing the renewal of Registration cum Membership Certificate, coordinating lease renewals, Service Export Reporting, Monthly Report of Investment & Employment, Annual Performance Report, and ensuring the validity of Bond Cum Legal Undertaking.

- Draft and vet Scheme Information Document, Statement of Additional Information, and other statutory documents, including documents pertaining to PMS/AIF business.

- Drafting regulatory or business policies and procedures

- Monitor and report compliances relating to investors' servicing to statutory authorities.

- Interact and Liaise with the Statutory Audit, IFSC Audit, Internal Audit, etc and ensure any shortcomings/discrepancies are highlighted. Coordinate regulatory inspection.

- Legal Drafting and vetting of business agreements

Qualification and Experience:

- Candidate needs to have minimum 5 years of experience

- Possess relevant secretarial experience, preferably in a financial sector company.

- Conduct research on SEBI AIF Regulations, FEMA, and investment regulations across various sectors, industries, and jurisdictions; ideally, have experience dealing with foreign law firms in this context.

- Demonstrate dynamism and teamwork, coupled with the ability to independently manage assigned tasks.

- Exhibit strong oral, written communication, and interpersonal skills.

- Display ambition, passion, and the ability to perform effectively under pressure.

- Sound knowledge of the various other regulations like Companies Act, PMLA, SAST, KYC, Insider Trading etc.