ValueQuest Investment Advisors - Senior Compliance Officer - Alternative Investment Fund
ValueQuestMumbai, India30+ days ago
Job descriptionEnsure 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 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 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 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 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 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 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
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 :
Fund Governance :
Risk & Investor Protection :
Internal Controls :
Stakeholder Management :
Qualifications & Experience :
Education : CA / CS / LLB / MBA or equivalent professional 8+ years of total experience with 3+ years of AIFs Compliance experience
Desired Skillsets :
(ref : iimjobs.com)
Create a job alert for this search
Compliance Officer • Mumbai, India
Related jobs
- Promoted
Senior Associate, Risk & Compliance
ConfidentialMumbai, India The Bridgespan Group ('Bridgespan') is a global nonprofit that aims to build a better world by strengthening the ability of mission-driven organizations, philanthropists, impact investors, and corp...Show moreLast updated: 18 days ago
- Promoted
Compliance Advisory-Bank
ConfidentialMumbai Capable of taking the lead on all regulatory and compliance matters associated with TPP.Able to effectively communicate and liaise with senior management, Legal and Compliance personnel and the pri...Show moreLast updated: 30+ days ago
- Promoted
Senior Investment Professional
SLKMumbai, IN Job Description – Senior Investment Professional.Senior Investment Professional.Remote work based in India (Full-Time).SLK is a specialist climate change and healthcare advisory firm dedicated to a...Show moreLast updated: 30+ days ago
- Promoted
Senior Compliance Specialist
TravelexMumbai, Maharashtra, India Describe the areas the role is ultimately responsible for.Assign activities to the Analyst for action.Manage and delegate work fairly and effectively within the team.
Request and ensure that the tea...Show moreLast updated: 1 day ago
- Promoted
Compliance Advisory- Financial Market
ConfidentialMumbai Providing regulatory guidance on various business structures and transactions pertaining to the treasury and PD operations.
Reviewing various product and process notes pertaining to the treasury and...Show moreLast updated: 30+ days ago
- Promoted
Senior T24 Developer - Investment Banking
Systems LimitedKalyan-Dombivli, IN The ideal candidate will possess strong technical expertise in.Securities workflows, Temenos API frameworks, and system integrations.
This role involves leading the end-to-end delivery of T24 techni...Show moreLast updated: 5 days ago
- Promoted
Senior Engineer - Digital Assets (Wholesale Banking)
Flyers SoftKalyan-Dombivli, IN Cloud (AWS / Azure / GCP), Enterprise Architecture (TOGAF), Security (CISSP / CISM), Blockchain / DLT (Hyperledger, Corda, CBP), Agile (PMI‑ACP / Scrum).
Deep knowledge of DLT platforms and smart contracts; e...Show moreLast updated: 13 days ago
- Promoted
AVP Compliance
TAAS PartnersMumbai, Maharashtra, India About Client : Client is a leading financial app available on both Android and iOS platforms.They have garnered over 8 million downloads, maintaining a high user satisfaction level with 4+ star rat...Show moreLast updated: 1 day ago
- Promoted
Compliance advisory - Treasury - SM / AVP
YES BANKMumbai, Maharashtra, India The role holder is responsible for providing regulatory guidance on various products, processes and transaction structures pertaining to the treasury function of the Bank.The role also ensures regu...Show moreLast updated: 27 days ago
- Promoted
Fund Raising - Alternative Investment Funds
Vivriti Asset ManagementMumbai, Maharashtra, India Vivriti Group is a pioneer in the Mid-Market Lending space providing tailored debt solutions to mid-sized entities.The group has the following businesses : .
Vivriti Capital Limited, a systematically ...Show moreLast updated: 30+ days ago
- Promoted
Head of Investment Compliance
ConfidentialMumbai What are the ongoing responsibilities of this position.Team Leadership & Development : .Lead, mentor, and develop a team of compliance professionals.
Plan, prioritize, and align team objectives with d...Show moreLast updated: 30+ days ago
- Promoted
Senior Investment Reporting Associate
ConfidentialMumbai, India To apply : Review the JD Below, and if interested, submit your application here : .The Senior Investment Reporting Associate will take ownership of client investment reporting, dashboards, and portfol...Show moreLast updated: 13 days ago
- Promoted
Senior Investment Advisor - HNWI & Private Capital Relations
Friendly Franchisees Corporation / Silver Star Real Estate LLCThane, IN Senior Investment Liaison – HNWI & Private Capital Relations.We are seeking a well-connected and relationship-driven.Senior Investment Liaison – HNWI & Private Capital Relations.We are seeking a we...Show moreLast updated: 30+ days ago
- Promoted
Lead Environmental Compliance
Tata ElectronicsThane, IN Looking for Lead Environmental Compliance Role in manufacturing industry, Preferably local language (Kannada).Location : Bangalore- Narasapura.
To develop, implement and maintain environmentally res...Show moreLast updated: 23 hours ago
- Promoted
Senior Analyst - Performance Attribution, Malaysia
Invartis ConsultingMumbai, IN Job Location - Cyberjaya Malaysia.This role will require relocation to Malaysia.The position is not based in India.We are seeking to hire well experienced Techno-functional Investment Performance O...Show moreLast updated: 30+ days ago
- Promoted
FOREX INVESTOR
FOREX INVESTMENTThane, IN We suggest you enter details here.This is a contract remote role for a FOREX Investor at FOREX INVESTMENT.The Investor will be responsible for tasks related to Escrow, Communication, Customer Servi...Show moreLast updated: 30+ days ago
- Promoted
Compliance Specialist – Affordable Housing (LIHTC)
Castellan Real Estate PartnersThane, IN Compliance Specialist – Affordable Housing (LIHTC).Remote (Based in India, supporting California projects).Full-time | Must be available to work in Pacific Standard Time (PST) overlap hours.We are ...Show moreLast updated: 15 days ago
- Promoted
- New!
Sr. Associate – International Compliance & Entity Management
Transformative Venturesnavi mumbai, maharashtra, in We are looking for a Senior Associate – Finance to support and manage our international compliance, entity setup, and statutory obligations across multiple geographies.
As we expand globally, this r...Show moreLast updated: 22 hours ago