Senior Compliance Officer

About Company

The company operates in the investment management and financial advisory industry, focusing on research-driven portfolio strategies and asset management services.

Job Description

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 qualification 

• Experience: 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.

Mandatory Requirement

Primary Job Profile : Fund Operations

Technical Skills : Compliance, AMC Operations

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