Manager - Compliance - Financial Sector - CS/LLB

Manager - Compliance

Roles & Responsibilities:

- Ensuring compliances with IFSCA, SEZ and SEBI AIF, Ancillary Services, PMS Guidelines and Regulations, FEMA, Anti Money Laundering laws and assisting on KYC requirements under the legislations and ensuring that the procedures are followed and regularly reviewed.

- Ensuring secretarial compliances under the Companies Act, 2013 and such other statutes, regulations and guidelines as required and developing good corporate governance practices for the companies. Arranging board/general meetings and preparing minutes thereof. Follow-up on matters where required to ensure compliance.

- Maintenance of secretarial records, statutory books and registers and handling statutory & internal audits. Responding to inspections, regulatory and audit queries as the principal point of contact.

- Preparation, filing and registering forms, returns, applications or other documentation as required by and on behalf of the companies with Special Economic Zone Authorities, IFSCA SEBI, RBI or other regulatory authorities.

- Handling special assignments relating to Business initiatives to the extent impacting Compliance and Legal affairs.

- Implementing compliance policies and procedures. Conducting compliance training for the employees.

- Draft, review, negotiate, execute contracts, Non-Disclosure Agreements, Master Service Agreements, Statement of Works, Licensing Agreements, and other legal documents pertaining to the company and the client companies.

- Drafting and standardizing all legal documents of business and all other documents relating to the company.

- Provide legal solutions / remedies to the Business Teams to mitigate the risk involved in the business transactions

- Ability to Liaise with Regulatory and SEZ authorities as and when required.

Required:

- Having 5-8 Years experience in the financial sector/ securities market industry.

- Preferred experience in Trust set up, Alternative Investment Funds, Special Economic Zone Compliances under IFSC and other financial service sector related compliances.

- Excellent verbal and written communication.

- In-depth knowledge of the Companies Act, 2013, SEBI Regulations on AIF and other guidelines, Foreign Exchange Management Act, Anti Money Laundering laws and KYC requirements.

- Enthusiasm and drive to spearhead the compliance function of the company almost independently and under the guidance of the reporting manager wherever required.

- Ability to drive the legal & secretarial function with required support from legal, secretarial consultants and under the guidance of the reporting manager wherever required.

- Legal Risk Management, Secretarial Compliance, Regulatory Compliance.

Qualification: Company Secretary along with LLB (preferred).

Must have: PMS or AIF Compliance