Manager - Compliance - Alternative Investment Fund

Manager Compliance - AIF

- Overseeing regular compliance for SEBI AIF, PMS and MF Regulations, SEC investment adviser regulations and compliances for restricted portfolio manager in Canadian provinces of Ontario, Quebec and British Columbia.

- Drafting reply letters for regulators of India, USA and Canadian regulators.

- Reviewing marketing material, client RFI, Due Diligence Questionnaires

- Monitoring compliance for Insider Trading Regulations

- Drafting of policies and implementing amendments to regulations, acts etc.

- Ensuring timely compliance for annual filing in reference to all 3 jurisdictions (e.g. Form ADV, Canada annual filing).

- Overseeing and implementing various ATR coming out of Board and Committee meetings.

- Handling audit for SEBI, SEC and Canada regulations, briefing the committee on audit outcomes, handling queries of auditors enabling better audit process and improvement in compliance policies

- Reviewing client agreements, monitoring investment restrictions and IMA obligations.

- Conducting training sessions within the team on various topics of the rules, acts and policies for better understanding and improvement in the existing procedures

- Checking of client trades on a daily basis to ensure compliance with regulations, IMA guidelines and obligations.

- Researching rules and regulations for various jurisdictions on the line of product offering and solicitation rules for the Firm. Guiding the management on rules and regulations set around solicitation.

- Dealing with lawyers on queries regarding opinion obtained on various topics pertaining to the Firm's operations and expansion.

- Conducting annual review of policy and procedures