Mangalam Placement Private Limited

Manager - Compliance (Individual Contributor)

Manager - Compliance (Individual Contributor)
Job Location:  Ahmedabad
Job Description:  SkillSet: fema, "cs", aif, sebi, pms.

Position: Manager - Compliance (Individual Contributor)

Qualification: CS

Experience: 5 to 6 years

Location: Gift City (Gujarat International Finance Tec-City)

Duties and Responsibilities

  • Handling overall compliance with various Securities Laws (PMS Regulations, AIF Regulations, FPI Regulations)
  • Preparation of periodic reports for SEBI Compliances (Monthly, Half-yearly reporting etc.),
  • Handling day to day compliances of each business segment and ensuring that all guidelines are implemented in respect of various activities.
  • Keeping self-updated about the latest regulations and amendments issued by the Regulators.
  • Providing the data for Internal, Statutory Audits
  • Manage ongoing compliance requirement for international and domestic structures, assist in due diligence process for any MA or Strategic tie-up etc.
  • Ensuring the Compliance of AML Employee trading policy Code of conduct for Employees
  • Provide compliance trainings to the employees as and when required
  • Preparation of Investment Committee working papers and presentations
  • Monitoring of Investment Risk Framework and highlight the deviations
  • Preparation and circulation of Investment Risk MIS to the stakeholders
  • Working Knowledge on Key Regulations: PMS, AIF III, FPI FEMA, Company Act etc
  • Candidate should have relevant experience in Compliance function for the organization in the Financial Services industry.
  • Experience in PMS and AIF industry in equities business is preferred
Functional Area:  Company Secretary
Experience:  5 - 6 years
Salary:  6 Lakh to 12 Lakh INR
Mangalam Placement Private Limited
Job Ad publication date: 29 Nov 2022