Compliance Team Member - BFS

KEY ROLES & RESPONSIBILITIES

As a part of Compliance, Legal & Risk team, develop and implement the Compliance Framework for the firm's business under relevant regulations.

- Subject matter expert on everything related to Corporate Laws FEMA Regulations, SEBI Investment Advisor Regulations and SEBI Alternative Investment Fund Regulations.

- Single point of contact for all the secretarial matters and handle independently.

- Drive Corporate Social Responsibility programme and compliance.

- Assistance in secretarial and FEMA compliance of overseas entities.

- Conducting Board, Committee and shareholder's meeting

- Compliance review and approvals of marketing materials under SEBI IA Regulations

- Designing and conducting trainings as required under various regulations.

- Drive insider trading (PIT) related framework and compliance. Drafting, vetting of Legal agreements.

- Collaborate with the other Compliance & Risk team members to bring consistency in relevant controls across the Managed accounts, Advisory and Funds business.

- Automate reporting and controls.

- Monthly MIS for Management Review

- Contribute to other firm wide compliance & risk projects.

FUNCTIONAL & BEHAVIOURAL KNOWLEDGE

- Hands on knowledge and experience in Corporate Laws FEMA, & PIT Regulations Good to have - knowledge of SEBI IA & AIF Regulations.

- Demonstrate ownership in all tasks at hand

- Great Team player

- Demonstrates independence

- Drive to automate

- Ability to handle multiple projects

PROBLEM SOLVING

- Partners with the rest of the Firm and gives assurance on quality of controls

- Good ability to articulate and reason.

INTERACTIONS

- Works independently and with the team; Will interact with Directors, Fund Managers, various Functions, AD Bankers, regulators, lawyers as well as auditors.

TYPICAL SCOPE & IMPACT

Contributes to the achievement of personal and team objectives