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
Qualification:
Salary:
6 Lakh to 12 Lakh INR
Mangalam Placement Private Limited
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Job Ad publication date: 29 Nov 2022
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Disclaimer
Job Advertisements on CareerAge.com are sourced from various employers and media. CareerAge.com makes no warranties about the Advertiser's authenticity, accuracy, reliability, completeness, or timeliness of the material, services, software, text, graphics and links. The Job Advertisements do not constitute advice and should not be relied upon in making (or refraining from making) any decision. The individual would have to conduct his/her own background checks on the bonafide nature of the Advertisers as well as the Job Advertisements, and must exercise utmost caution before getting into any kind of monetary transactions/agreements with the Advertisers. CareerAge.com shall not be liable in the event of any monetary/financial loss or any other loss incurred/suffered by the individual on account of his/her own decision in this regard.
