Compliance Manager

Role & responsibilities

DESIGNATION- COMPLIANCE MANAGER
LOCATION- Ahmedabad

JOB PURPOSE The Company Secretary will be responsible for maintaining corporate records, compliance
with SEBI and other regulatory authorities, corporate governance, and facilitating smoothoperation of the companys boards and committees, with a particular focus on the AIF andPMS 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 fundregulations.Advise the board and senior management on the implementation of best corporategovernance practices, legal risks, and regulatory developments.Oversee compliance with SEBI (PMS) Regulations, SEBI (AIF) Regulations, and otherapplicable 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, boardresolutions, 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 appropriatelycaptured 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, performanceupdates, and other investor communications.Address investor grievances and manage escalations in line with the regulatoryguidelines.Oversee compliance with SEBI’s AIF and PMS disclosure requirements and ensure thatall 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, ensuringcompliance 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, andinvestment vehicles.Work with legal advisors to address and manage potential legal risks related toportfolio 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 annualstatements 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 interestsand maintain robust compliance processes across PMS and AIF operations.Assist in internal audits to ensure that all operations and transactions are conductedin 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 updatesand guidance to the management team.Prepare submissions to SEBI and other regulatory authorities related to fund-relatedapprovals, 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 relevantregulations.Facilitate smooth operation of the company’s secretarial functions, includingmanaging 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, includingmanaging AIF funds and PMS portfolios.