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ValueQuest Investment Advisors - Senior Compliance Officer - Alternative Investment Fund

ValueQuestMumbai, India

2 days ago

Job description

Senior Compliance Officer - Alternative Investment Fund (10-12 yrs)

About the job :

We are seeking a dynamic and experienced Senior Compliance Officer as part of our Mumbai-based team to oversee the overall compliance framework and regulatory obligations of our Alternate Investment Funds (AIFs) in India.
The role involves ensuring adherence to relevant regulations, allied laws and internal policies while providing strategic compliance guidance to our investment and operations teams.

Key Responsibilities :

Regulatory Compliance :

Ensure compliance with all SEBI regulations pertaining to AIFs including amendments, circulars and guidelines

Manage periodic reporting, filings and disclosures to SEBI, investors and other regulators

Ensure compliance with investor and investee agreement of AIF

Oversee compliance with FEMA, Companies Act, PMLA, Income Tax and other applicable laws as relevant to AIF Operations

Fund Governance :

Monitor compliance with fund documentation (PPMs / Amendments to PPM, Contribution Agreements, Investment Management Agreements, Side Letters) in co-ordination with the fund legal counsel

Manage adherence to investment restrictions, leverage limits and reporting standards

Advise from a regulatory perspective during fund structuring, product design, and documentation

Risk & Investor Protection :

Monitor KYC / AML Compliance for all investors in line with PMLA guidelines

Oversee marketing materials, quarterly / annual updates and such communication to be sent to investors / SEBI.

Identify potential compliance risks and recommend corrective actions

Internal Controls :

Design, implement and monitor compliance manual consisting of policies, checklists and SOPs

Conduct periodic compliance testing and audits to assess regulatory adherence

Maintain compliance records, registers and related Compliance systems

Stakeholder Management :

Liaise with regulators, auditors, legal counsel and custodians

Collaborate with investment, operations, finance and risk teams to ensure compliance alignment

Provide training and updates on regulatory changes to internal teams

Qualifications & Experience :

Education : CA / CS / LLB / MBA or equivalent professional 8+ years of total experience with 3+ years of AIFs Compliance experience

Solid knowledge of SEBI AIF experience, Companies Act, FEMA, PMLA with respect to funds

Strong track record of managing compliance audits, regulatory inspections and filings

Desired Skillsets :

Strong analytical and problem-solving skills with detail-oriented approach

Excellent communication skills to interact with functional leadership and regulatory bodies

Ability to balance business needs with regulatory requirements

High integrity and strong ethics

(ref : iimjobs.com)

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Compliance Officer • Mumbai, India