Plutus Wealth Management - Compliance Officer

Compliance Officer

- Ensure compliances with respect to SEBI Guidelines pertaining to SAST, AIF including disclosures and FEMA compliances.

- Monitoring changes in relevant legislation and the regulatory environment and taking appropriate action.

- Liaising with legal advisers / consultants and appropriately responding to summons and notices issued by the Regulators and appearing in hearings wherever required to resolve queries raised by stock exchange / SEBI.

- Carrying out periodic reviews to ensure legal compliances of trading membership (like exchange compliances, SEBI compliances, Companies Act)

- Developing and overseeing the systems that ensure the entity complies with all applicable regulations, in addition to its legal and statutory requirements.

- Vetting of regular business agreement to be executed by the organization.

- Assisting in the exchange related compliances as applicable to a SEBI Registered Stockbroker, depository participant.

- Assisting the team in organizing, preparing agenda for and recording minutes of board meetings and general meetings.

- Leading M&A transactions from legal perspective like drafting or reviewing share purchase agreements, shareholders agreements, business purchase agreements, continuous review of compliances by portfolio companies and assisting them wherever required.