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 Role

We are seeking a dynamic and experienced Senior Compliance Officer — AIF Category II (Private Equity), 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 ideal candidate will be a strong and seasoned resource in Category II AIF (Private Equity) compliance, with deep expertise in navigating the regulatory landscape for closed-ended, private equity-style fund structures.

The role involves ensuring adherence to relevant SEBI AIF regulations, allied laws and internal policies while providing strategic compliance guidance to our investment and operations teams across the complete lifecycle of each fund managed under our Category II AIF schemes.

Growth Path & Strategic Impact

This role offers a compelling and high-impact growth trajectory for the right professional. Beyond the first close and ongoing compliance of our existing funds, the incumbent will play a pivotal role during the deployment phases, ensuring seamless compliance as the portfolio is built out.

Looking ahead, the role holder will be at the forefront and will actively contribute to and driving end-to-end compliance for our upcoming billion-dollar fund raise under new Category II AIF schemes. These new schemes will primarily target global institutional investors, making this a highly visible and strategically critical mandate.

The role holder will serve as the interface for all regulatory and compliance matters, liaising with SEBI, investors, custodians, auditors and legal counsel, throughout the complete lifecycle of each fund managed under our Category II AIF schemes. This is an exceptional opportunity for a compliance professional to grow alongside a platform that is scaling to global ambitions.

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 : Regulatory Compliance

Technical Skills : SEBI Regulatory Compliance, Fund Governance, AIF Compliance

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