Information Classification: UTI AMC - Internal Position –Associate Principal / Principal – Company Secretary & Compliance Officer – UAPL Department / Channel & Centre of Operation UTI Alternatives No. of openings 1 Organization/ Functional Designation Associate Principal / Principal Location: Gurgaon, Delhi NCR Position reporting to CEO UTI Alternatives Pvt. Ltd. KEY RESPONSIBILITY AREA The candidate would be designated as Compliance Officer & Company Secretary of UTI Alternatives and have responsibility as mandated under SEBI Regulations and Companies Act. Additionally, the candidate would be responsible for corporate legal such as vetting of contracts and agreements entered into by UAPL. Company Secretary Responsibility: Responsibilities include maintaining statutory records, ensuring adherence to legal and regulatory requirements, advising the senior management, primary interface with ROC/MCA and managing communication between the board, stakeholders, and other parties. Candidate to note that UAPL is a 100% subsidiary of a listed company. Compliance Officer Responsibility: Would be designated as compliance officer under the various regulations as applicable including Companies Act, SEBI AIF Regulations and PMLA. Owner of compliance documents of the funds & its schemes, i.e., the PPM, Contribution Agreements, Placement Agreement, PMS Agreement. Point person for internal audits and implementation of other checks and balance for testing compliance with regulations and internal policies. Assist in formulating and devising policies and compliance systems. Timely reporting as required under all regulations. Assist the finance team in statutory audits of company and schemes. Legal Officer Responsibility: Primary vetting of all agreements entered into by UAPL for its day to day business, Provide back-up support for vetting of agreements entered on behalf of fund, advising senior management on legal questions KEY REQUIREMENTS  Experience with well-established and pedigree corporates in either of the following sectors (in order of preference) i. private equity or private credit funds, ii. other SEBI regulated entities iii. Banks and NBFCs iv. Other RBI regulated entities v. Mid to large listed companies with substantial regulatory dealings or oversight 1. Qualification: QUALIFICATION & EXPERIENCE Minimum Qualification – Company Secretary. Add on of CA or LLB is preferred. Preference for rank holders or tier 1 institutes. 2. Experience: a. Overall Work Experience 10 - 15 years Mandatory Requirements as per IFSC FME Regulations: PREFERRED SKILLS  Inter-personal  Business Communication Information Classification: UTI AMC - Internal