Compliance Manager - Asset Management Firm - LLB/CS (8-10 yrs)

JOB PURPOSE:

- The Company Secretary will be responsible for maintaining corporate records, compliance with SEBI and other regulatory authorities, corporate governance, and facilitating smooth operation of the company's boards and committees, with a particular focus on the AIF and PMS businesses.

JOB RESPONSIBILITIES:

Corporate Governance & Compliance:

- Ensure adherence to corporate governance standards, relevant provisions of the Companies Act, 2013, and SEBI regulations, including PMS, AIF, and mutual fund regulations.

- Advise the board and senior management on the implementation of best corporate governance practices, legal risks, and regulatory developments.

- Oversee compliance with SEBI (PMS) Regulations, SEBI (AIF) Regulations, and other applicable regulations to ensure proper conduct of the business.

Regulatory Filings & Documentation:

- Ensure timely and accurate filings with regulatory authorities such as SEBI, Registrar of Companies (RoC), and other statutory bodies.

- Maintain up-to-date statutory records such as registers of members, directors, board resolutions, and others as per applicable regulations.

- Ensure compliance with ongoing reporting requirements for PMS and AIF offerings, including fund disclosures and filings.

- Manage regulatory filings for AIF funds, including filings related to fund launch, investment activities, and investor reporting.

Board & Shareholder Management:

- Organize and manage board meetings, AGMs, and other shareholder meetings, including preparing agendas, notices, minutes, and resolutions.

- Ensure that all regulatory and compliance-related decisions are appropriately captured and documented.

- Serve as the liaison between the board, investors, and external stakeholders, providing updates on regulatory developments and compliance status.

Investor Communication & Relations:

- Ensure transparent and compliant communication with investors of PMS and AIF products, including the preparation of periodic reports, NAV disclosures, performance updates, and other investor communications.

- Address investor grievances and manage escalations in line with the regulatory guidelines.

- Oversee compliance with SEBI's AIF and PMS disclosure requirements and ensure that all necessary information is disseminated to investors in a timely manner.

Legal & Risk Management:

- Provide legal advice on structuring and setting up PMS and AIF funds, ensuring compliance with SEBI guidelines and other regulations.

- Provide legal advice on structuring and setting up PMS and AIF funds, ensuring compliance with SEBI guidelines and other regulations.

- Assist in drafting, reviewing, and negotiating fund documents, contracts, and investment agreements related to PMS and AIF.

- Ensure proper legal and compliance checks for new products, strategies, and investment vehicles.

- Work with legal advisors to address and manage potential legal risks related to portfolio management and investment activities.

Compliance with AIF & PMS Regulations:

- Ensure that the company's PMS and AIF offerings are structured and operated in accordance with the applicable SEBI Regulations.

- Monitor the regulatory requirements for PMS clients, including documentation, reporting, and compliance with AIF regulations.

- Oversee the preparation of compliance reports for PMS clients and the filing of annual statements with SEBI as per applicable guidelines.

Internal Control & Audit:

- Coordinate with internal and external auditors to facilitate audit processes, ensuring compliance with financial reporting and internal control mechanisms.

- Implement and monitor policies and procedures to safeguard the company's interests and maintain robust compliance processes across PMS and AIF operations.

- Assist in internal audits to ensure that all operations and transactions are conducted in accordance with legal and regulatory frameworks.

- Regulatory Liaisons Act as the primary point of contact for SEBI, RBI, and other regulatory bodies for matters related to PMS, AIF, and other investment-related activities.

- Keep abreast of changes in regulations concerning PMS and AIF and provide updates and guidance to the management team.

- Prepare submissions to SEBI and other regulatory authorities related to fund-related approvals, renewals, and any other regulatory filings.

Corporate Secretarial Functions:

- Ensure compliance with all statutory requirements for company formation, governance, and operations.

- Maintain the company's statutory books and records, including resolutions, minutes, and declarations, ensuring compliance with the Companies Act and relevant regulations.

- Facilitate smooth operation of the company's secretarial functions, including managing internal and external communication.

Educational Qualification:

- Qualified Company Secretary (ACS) from the Institute of Company Secretaries of India (ICSI).

- A degree in Law (LLB) or equivalent qualification is preferred.

- Experience: Minimum 8-10 years of experience in company secretarial roles, preferably within an Asset Management Company, PMS, or AIF industry

- In-depth knowledge of SEBI regulations, particularly those governing PMS and AIF.

- Prior experience in regulatory compliance, legal advisory, and governance, including managing AIF funds and PMS