Only candidates based out of Mumbai apply|Only Candidates with 15+ years of experience to apply
About Our Client Our client is a leading private equity fund with an AUM of over 4 billion USD. They have large scale investments through its 3 funds Job Description Reporting to the Group General Counseil, you will be responsible for :
Statutory Compliance
Ensure all statutory compliances across the company are up to date in a timely manner by tracking these across functions,
Complete all compliances related to Companies Act, POSH Act, AIF regulations (applicable to manager),
Conduct (and ensure updation) of KYC of investors and applicable anti money laundering compliances,
Ensure compliances under applicable policies such as Prevention of Insider Trading Code, Anti Bribery and Anti-Corruption, Code of Conduct, Conflict of Interest, IPM Guidelines, Compliance SOPs etc.,
Organise and conduct meetings of the Board, committees and shareholders from time to time,
(A) Ensure maintenance (and custody) of minutes of Board and shareholders meetings,
Act as Compliance Officer for the Funds as per AIF regulations;
Complete all compliances related to the Funds under the AIF regulations;
Completing KYC of investors and screening for various sanctions;
Undertake the annual compliance test (CTR) for each fund;
Record keeping of Funds related documents
Custodian for all deal bibles, minutes of meetings of investment committee, advisory board
Review of transaction documents from compliance and policies perspective
Support deal team on transaction closure / closing mechanics
Organise and conduct Compliance Committee meetings, escalate non-compliances and implement resolution
Monitor compliance risk register, update the same for additional risks (as applicable) and report deviations
Other Tasks
Acting as subject matter expert and supporting the portfolio companies for any specific issues;
Support legal team on ELs, NDA and other legal documents, as and when requested,
Ensure all shares, scrips and securities of the Funds are duly credited into respective demat account, prepare monthly reconciliation and address discrepancy, if any,
Lead renewal of liability insurance for the organization (VCAP, D&O, Cyber etc),
Ensure automation of compliance process - implementation of software, approving compliance tasks and reporting to compliance committee,
Ensure automation of insider trading compliance process,
Conduct (through automated platform / trainers) mandatory compliance trainings for all employees,
Act as custodian of all the policies, support relevant function in updation of policies (including change management process) and communication of policies to all employees.
The Successful Applicant Ideally you are a qualified company Secretary with 15+ years of experience from a large unlisted group or a small or medium listed company. Candidates with If the person has financial services experience will be preferred. What's On Offer
