Compliance Officer

Position Summary:
Shankh.tech team at InfinityPool Finnotech is seeking qualified candidates for Compliance Officer Position. The successful candidate will work closely with our trustee, investors, regulators, core investment team and other fellow team mates and make sure we comply fully with various reporting needs of the clients, regulators like SEBI.

Responsibilities:

• Working with Shankh’s Investment, Strategy and Legal Counsel, perform comprehensive compliance-related operational due diligence and disclosures on all new and existing public and private market manager recommendations and investments.
• Assisting founders in drafting, reviewing of materials such as investment memos, presentations, Private Placement Memorandum (PPM).
• Evaluating ways to improve internal Compliance processes including but not limited to public market investment guideline monitoring, compliance training, and the annual ethics & compliance questionnaire.
• Assisting founders in maintaining the Agency’s Personal Trading Policy, including setting up electronic data feeds for multiple brokers.
• Advising the Clients on Alternative Investment Fund (AIF) or other future investment instruments and help them to answer their queries.
• Review of circulars issued by SEBI Foreign Portfolio Investment (FPI), the Portfolio Management Services (PMS), Alternative Investment Fund (AIF) and Mutual Fund (MF) provide feedback to Investment Management team.
• Drafting various mandatory policies, constitutional documents and co-coordinating for other processes for day to day operations.
• Liaising with external agencies on behalf of the company, like SEBI, Custodians and relationship managers for account opening and maintenance functions.
• Preparing regular reports as per the applicable laws and submit the same with the regulators.
• Effective handling of compliance-related activities and ensuring all compliances under SEBI regulations
• Liaising with auditors- internal, concurrent and external auditors as well as handling of SEBI Inspection
• Handling of Anti Money Laundering activities for the Fund
• Review of ongoing advertisements /marketing materials
• Handling of investment limit monitoring and other SEBI monitoring related compliances
• Handling of end-to-end reporting requirements for SEBI & RBI as/if applicable.
• Assist in preparation of Board meeting and Audit committee meetings and managing all the ROC-related procedures.
• Assist in offer document preparation and issuing addendums, notices etc. and assisting in scheme launch activities
• Interpretation of regulations and communicating regulatory changes to key functions/stakeholders
• Ensuring compliance of Employee Dealing policy by the employees.
• Drafting various policies and changes to be incorporated in policies.
• Reasonable knowledge/experience in handling legal agreements, legal notices, investor complaints etc.
• Identify and execute process improvements, provide guidance and support on key process and technology initiatives for necessary automation.

Requirements:

• A Bachelor's or Master's degree in Finance, Economics, Business Administration, or a related field.
• Strong understanding of markets, relevant regulatory requirements from SEBI, etc.
• 2+ years of experience in compliance function preferably in equity and derivatives markets, in a buy-side capacity.
• Ability to work independently and collaboratively in a fast-paced environment.
• Strong analytical and problem-solving skills.
• Excellent communication and interpersonal skills.
• High attention to detail and accuracy.
• Ability to work under pressure and deadlines.
• Ability to work on multiple projects at a given time.
• ‘Get stuff done’ and flexible mindset for greater good of the organization.
• Intellectually curious and eager to learn.
• A major influencer & strategic thinker

About InfinityPool Finnotech & Shankh:
InfinityPool is fintech operating in Wealth Management, Financial Education and Technology buildout for finance. Our vision is to empower individuals to achieve financial freedom by democratizing access to wealth-generating financial products while promoting financial literacy. The SHANKH is its flagship product line with new innovative approaches to Wealth Management using highly advanced Artificial Intelligence based digital ecosystem.

Why you should join us:
We are
Pool of Infinite Dreams
Pool of Infinite Ideas
Pool of Infinite Approaches
Pool of Infinite Possibilities
Pool of Infinite Kindness
At InfinityPool, we work with cutting edge technologies and financial research. We deliver the best experience to our clients. If you love to be challenged intellectually and are looking to make a difference in India’s growth story in Wealth Management, we encourage you to apply for this position. Being an early stage startup, you will have opportunity to influence and shape up the organization. The work culture is more informal and flexible. We prioritize innovation, collaboration and transparency and encourage a flat hierarchy where everyone's ideas are valued. We all also have a strong sense of purpose and a mission that guides our work.