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

Desired Skillsets