Compliance Officer
Vivriti Capital
Date: 3 weeks ago
City: Gandhinagar, Gujarat
Contract type: Full time
Key Responsibilities
Mode of Work: Work from office
- Assisting in compliance as per Companies Act, 2013, SEBI AIF regulations and any other regulations as may be applicable to alternative investment funds and its asset manager/sponsor from time to time.
- Liaising & dealing with Statutory and regulatory authorities such as ROC/RBI /SEBI etc.
- Familiar with IFSC and GIFT city compliances.
- Assist in reporting to the Board and liaison with Board of directors, internal & external stakeholders.
- Conducting of Board, general and other committee meetings.
- Drafting of minutes of Board, general and other committee meetings and follow up actions thereof.
- Must be proficient in filings required under SEBI AIF Regulations, Companies Act, 2013, FEMA etc. and handling the website of SEBI Intermediary Portal, RBI, RBI-FIRMS Portal and the Ministry of Corporate Affairs etc.
- Involved in drafting internal policies such as KYC AML Policy, ESG Policy, Insider Trading Policy etc.
- Should keep abreast with the latest regulatory changes/ requirements and adhere to such requirements.
- Ability to assess, review and develop framework, processes and policies.
- Maintenance of statutory registers and manage tasks related to securities, their transfer and transmission.
- Manage internal and statutory audits on regular basis.
- Assisting in investment process by AIF and assist to review and maintenance of transaction documents, conditions precedent and subsequent in relation to investment by AIF.
- Assisting in maintenance of all documents in relation to receipt of investment by AIF and reporting by AIF to its Trustee, contributors and to the regulators.
- Assisting to do research under SEBI AIF Regulations, Companies Act, FEMA, regulations related to investment in AIF from various countries and various sectors, and further investment by AIF etc.
- Other operational works like reporting by AIF, work related to investment by AIF and receipt of investment by AIF, charge execution, maintenance and tracking etc.
- Any other secretarial and operational support to the Company’s existing structure.
- Possess good inter-personal skills and maintain cordial relationships with internal and external stakeholders.
- Be a qualified member of the Institute of Company Secretaries of India (ICSI) with minimum of 5 years’ experience. The person will be responsible for handling the entity’s compliance, operations, and secretarial activities.
- Possess relevant secretarial experience, preferably in asset management and alternative investment funds sector.
- Good understanding of financial sector and AIF business in particular.
- Should be equipped to do research under SEBI AIF Regulations, Companies Act, FEMA, regulations related to investment in AIF through various sectors/industry, various jurisdictions and preferably experienced in dealing with foreign law firms in relation to the same.
- Should be dynamic and a team-player at the same time should be able to handle independently the given tasks.
- Possess good oral, written communication, and interaction skills.
- Be ambitious and passionate as we are and ability to work effectively under pressure.
- Founder-led entrepreneurial set-up which is defined by speed, agility and creativity
- Highly empowered and critical role, which makes a difference to Vivriti Capital
- Young, energetic, and highly talented Teams
- Hard work is the defining aspect of the organization
Mode of Work: Work from office
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