Assistant Manager / Manager – AIF CAT II & CAT III Compliance

About the Job :

The incumbent will be responsible for ensuring compliance with SEBI (Alternative Investment Funds) Regulations, and other applicable laws / regulatory requirements for Category II & Category III AIFs. The role involves monitoring fund operations as per defined metrics, investor reporting, regulatory filings, and providing assistance to business teams on compliance matters.

Key Responsibilities

Compliance of all regulations pertaining to Category II & III AIF at SEBI, in relation to investment and reporting from time to time to SEBI. Quarterly / time to time reporting & keep the record for audit.

Maintain detailed records of compliance activities, disclosures, and correspondence with regulators, of the AIF CAT II & CAT III.

Reviewing all marketing materials, quarterly / annual updates, all communication to be sent to investors / SEBI.

Monitoring fund activities, investments, operations for adherence to regulatory requirements & internal policies.

Prepare and submit periodic filings, disclosures, and reports to SEBI and other relevant authorities.

Reviewing / vetting all service-related agreements for AIFs, NDAs, Engagement letters etc.

Maintenance of KYC of investors and time to time reporting about fund progress. Record keeping.

Accounting, Taxation, and related compliances Audit reports.

Review of investment in periodic interval, risk analysis and reporting.

Stay updated on relevant laws, regulations, and guidelines from SEBI and other regulatory bodies affecting AIF CAT II & CAT III. Strong understanding of SEBI regulations related to both categories of AIFs, is a must.

Take part in identifying, assessing, and mitigating compliance risks associated with these AIF Categories.

Provide regulatory inputs during fund structuring, product design, and documentation.

Qualifications & Experience

CA / CS / LLB / MBA (Finance / Legal / Compliance) preferred.

3+ years’ experience with of 2+ years of relevant experience in AIF CAT II / CAT III compliance.

Strong understanding of SEBI AIF Regulations and related fund regulatory framework.

Desired Skillsets

Attention to detail and ability to work independently.

Strong communication and stakeholder management skills.

Integrity, professional judgment, and problem-solving mindset.