ValueQuest Investment Advisors

4 days ago

Mumbai, India ValueQuest Full time

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 documentationRisk & 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 actionsInternal 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 systemsStakeholder 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 teamsQualifications & 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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