Senior Compliance Officer - Offshore
Sierra-Cedar, Inc
Mumbai
6d ago

Job Description

Send me Jobs like this -Responsible for monitoring and oversight of Offshore Compliance

  • i)Act as Compliance officer for ensuring regulatory requirements and licence conditions for offshore subsidiaries;
  • ii)Advising on FPI / FDI norms;
  • iii)Vetting of all marketing and distribution material(s) and ensuring proper disclaimers / legends in the materials;
  • iv)Maintenance of various regulatory records and registers, filing of regulatory and other returns, do necessary registration of products with regulators and maintain a good professional relationship with Regulators;
  • v)Effectively handling SEC / FINRA / DIFC inspection and / or audit from time to time for offshore subsidiaries;
  • vi)Providing advise on PFIC, FATCA, solicitation in offshore jurisdiction;
  • vii)Proper evaluation / KYC of every client on-boarded and ensuring it meets the regulatory requirement like client being an accredited or institutional client;
  • viii)Liasoning with counsels for seeking legal opinions for offering of products in various jurisdictions;
  • ix)Implementing policies and procedures for offshore offering including compliance process and responding to offering related queries.

    Job specifications and competencies :

    Qualification :

    Bcom / Mcom / MBA + CS OR Law (Hons)

    Years of experience : 7 to 8 years of relevant work experience in Legal, compliance relating to FPI, Offshore fund set up, Mutual Funds, AIF.

    Keyskills

    Hons Mba Legal Compliance Mutual Funds

    Desired Candidate Profile

    Please refer to the Job description above

    Company Profile :

    India Infoline Investment Managers

    We started operations in 2008, building a strong advisory practice as opposed to a commission-based model. By aligning our interests with our clients, we have earned the trust of more than 10,000 families and we advise them on more than USD 15 bn of assets under advice, distribution and custody.

    This makes IIFL Wealth & Asset Management India's largest private wealth management firm in terms of assets under advice (AuA).

    We, at IIFL Wealth & Asset Management, always put people first. Our employees own 25% of the company, ensuring the mutual success of our clients and employees.

    We have been named the Employer of Choice, because of our work culture and ethics, which is why we have the fastest growing Relationship Managers team in the industry.

    And at 1%, we have the lowest attrition rate in the industry.

    Headquartered in Mumbai, we have offices across the country in locations such as New Delhi, Bangalore, Chennai, Hyderabad, Kolkata, Pune, Goa, Ahmedabad, Baroda, Chandigarh, Jaipur, Ludhiana & Kanpur.

    Internationally, we are present in New York, Houston, London, Geneva, Mauritius, Dubai, Singapore & Hong Kong. Download PPT Photo 1 Photos by India Infoline Investment Manager... View Contact Details

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