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
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