DMI Finance - Assistant Manager - CS & Compliance

Job Summary:

- Drive overall compliances of DMI Alternatives Private Limited and Schemes of Alternative Investment Fund for smooth functioning of the entities and their stakeholders; ensure timely compliances w.r.t. regulations laid down under the statutory provisions of SEBI AIF Regulations and Companies Act 2013.

Principal Accountability:

1. Strategic Advice

- Compliance Framework for Structures/Transactions/Products/Decisions/Operational Matters

- Management of SPV's compliances

- Completion of SPV's secretarial records

- Facilitate Due Diligence for a transaction as and when required

- Organizing Board Meetings in SPV's

- Support stakeholders with facts & observation for decisions regarding takeover of any entity

- Analyze the structure for the transaction

- Provide advice/ opinion on the transactions and related documents

- Opine on operational matters

2. Reviewing Regulatory Matters

- Review of Returns/Policies/Documents/Agreements

- Prepare and file SEBI AIF Returns

- Prepare and submit Reports with Trustee

- Prepare contribution Agreements, Investment Manager Agreement

- Review Investment Agreements and other related transaction Documents

- Execute the transaction documents on various investment/ various agreements

3. Stakeholder Management

- Working with Regulators/Internal teams/Board/Investors

- Coordinate with all Stakeholders like Directors, Investors, and lenders on monthly data/ queries

- Coordinate with the internal teams on transactions

- Coordinate with external vendors on data/ reports eg: reports linked to businesses

- Coordinate with Regulators Authority for inspection/ general queries/ other application based queries

4. Developing Compliance Controls

- Establish Processes, Defining Risk Management Limits and Framework, No levy of Penalties

- Formulate process for smooth and transparent functioning

- Identify the risk associated and mitigation of the same to endure no levy of penalties

5. Team Management

- Developing team goals, defining roles and responsibilities,

- Assist the team as and when required in completion of work and meeting the deadlines

- Assign task to the associates and periodically reviewing their work

6. Establishing and Implementing Policies and Procedures

- Prepare and Implement policies and processes as per regulatory guidelines

7. Undertaking Special Projects

- Implement any adhoc special projects assigned by the team head eg: driving transactions

Qualifications

- Minimum Qualification required: Company Secretary

Qualifications preferred: B.com

Work Experience

- Minimum 1-3 years of experience

Industry Related experience - nothing specific

- Good Communication skills

- Good Interpersonal skills