Compliance Officer

India’s premier Alternative Assets Manager

We are seeking a highly skilled and experienced Company Secretary/Compliance professional to join our team at Oister in Gurugram. The candidate will play a crucial role in ensuring corporate compliance, governance, and efficient administration of company affairs.

Role description:

• Ensure compliance with SEBI Regulations applicable to Alternative Investment Funds, Intermediaries, GIFT City IFSCA and all allied regulations
• Spearhead compliance and risk management activities for the Funds. Develop and manage an annual compliance calendar.
• Ensure timely submission of required filings and reports.
• Strong understanding of regulatory requirements under Companies Act, FEMA etc. for transactions carried out for the Funds
• Draft and Review policies and processes, systems to meet compliance requirements for the Funds
• Be updated about the latest regulatory changes and requirements, particularly those related to the AIF, SEZ Act, KYC/AML laws, and SEBI AIF IFSC Guidelines
• Prepare, analyze, and validate various reports, including compliance reports for presentation to the Board and regulators
• Maintain all statutory registers and secretarial records
• Organizing and maintaining documents related to AIF investments, ensuring accurate reporting to the Trustee, contributors, and regulators
• Manage statutory filings and submissions for AIF, including updation of Private Placement Memorandums
• Monitor and report compliances relating to investors' servicing to statutory authorities
• Impart training on various compliance topics while implementing a new policy / procedure on an ongoing basis
• Protect the entity from any material regulatory or compliance risk / breaches including Financial Crimes Compliance
• Work closely with legal and other internal departments to ensure a cohesive approach to compliance.
• Liaise with external advisors, auditors, and legal counsel.

Candidate description:

• Holds qualification as a member of the Institute of Company Secretaries of India (ICSI), or as a member of the Institute of Chartered Accountants of India (ICAI) or a LLB with relevant experience
• At least 2-3 years in related activities in the securities market or financial products including in a portfolio manager, broker dealer, investment advisor, wealth manager, research analyst or fund management
• Possesses relevant secretarial experience, preferably in a financial sector company
• Experience of conducting research on SEBI AIF Regulations, FEMA, and investment regulations across various sectors, industries, and jurisdictions; ideally, have experience dealing with foreign law firms in this context