Manager - Company Secretary

Role & responsibilities

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* Assistance in ensuring periodic updation/ revision of policies and SoPs and also maintaining repository of the same

* Possess basic knowledge of SEBI (Alternative Investment Funds) Regulations, 2012, SEBI (Intermediaries) Regulation 2008 and Sebi (Prohibition of Insider Trading) Regulation 2015.

* Assisting in SEBI compliance requirements including Quarterly Compliance Reports, Compliance Test Reports, PPM updates and PPM audits, etc.

* MCA Filings for the Investment Management Entity: Handled event-based and annual filings of MCA forms (e.g., PAS-6, MSME-1, DPT-3, DIR-12) in compliance with the Companies Act, 2013.

* Having a prior experience of Managing a Compliance Management Tool (Preferred) and assistance in conduct of Compliance and Risk committee meetings.

* Monitoring the complaints weekly on Smart ODR and SEBI Scores.

* Ability to handle internal auditors and statutory auditor to the extent of secretarial and compliance data.

* Ensuring Quarterly reconciliation of funds holding statement.

* Maintain and update the various registrations for the Investment Manager and Funds.( FINRA filing, FIU Registration & SAM filing, CKYC Portal).

* Ensuring compliances in relation to PMLA and circulars issued by SEBI & CERSAI.

* Ability to handle investor on boarding and sanction screening along with ongoing monitoring of FATFA jurisdictions.

* Having a basic understanding of operational matters pertaining to set up of Alternative Investment Fund such ISIN Creation for the Funds, Opening and maintaining of Escrow, custodian and Demat Accounts of the Funds.

* Such other matters as may be assigned from time to time.

Preferred candidate profile

Qualification: