Dovetail Capital logo

Compliance Professional

4 - 6 years

6 - 8 Lacs

mumbai

Posted:3 hours ago| Platform: Naukri logo

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Skills Required

training compliance internal audit anti money laundering legal sez legal documentation licensing auditing sebi

Work Mode

Work from Office

Job Type

Full Time

Job Description

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"Job Description
Ensuring compliances with IFSCA, SEZ and SEBI AIF, Ancillary Services, PMS
Guidelines and Regulations, FEMA, Anti Money Laundering laws and assisting on KYC
requirements under the legislations and ensuring that the procedures are followed
and regularly reviewed.
Ensuring secretarial compliances under the Companies Act, 2013 and such other
statutes, regulations and guidelines as required and developing good corporate
governance practices for the companies. Arranging board/general meetings and
preparing minutes thereof.
Follow-up on matters where required to ensure compliance.
Maintenance of secretarial records, statutory books and registers and handling
statutory internal audits.
Responding to inspections, regulatory and audit queries as the principal point of
contact. Preparation, filing and registering forms, returns, applications or other
documentation as required by and on behalf of the companies with Special
Economic Zone Authorities, IFSCA SEBI, RBI or other regulatory authorities.
Handling special assignments relating to Business initiatives to the extent impacting
Compliance and Legal affairs. Implementing compliance policies and procedures.
Conducting compliance training for the employees. Draft, review, negotiate, execute
contracts, Non-Disclosure Agreements, Master Service Agreements, Statement of
Works, Licensing Agreements, and other legal documents pertaining to the company
and the client companies.
Drafting and standardizing all legal documents of business and all other documents
relating to the company. Provide legal solutions / remedies to the Business
Teams to mitigate the risk involved in the business transactions Ability to Liaise with
Regulatory and SEZ authorities as and when required"

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