Compliance Officer
6 hours ago
Exciting opportunity to join a top performing private equity firm as a Compliance Officer.
Compliance Role in a Private Equity Firm
We at India Alternatives are seeking a diligent and experienced Compliance Officer to join our team. The Compliance Officer will play a critical role in ensuring that our firm and its funds adhere to all relevant laws, regulations, and internal policies. The ideal candidate will have a strong understanding of regulatory environment and a commitment to upholding the highest standards of integrity and ethical conduct. The ideal candidate should be an undergraduate from a Tier 1 college and have additional qualifications of being a CS / LLB. The ideal candidate should have 7-10 years of work experience in the compliance role preferably at an AIF / MF / PMS. The ideal candidate should be a self-driven individual with a positive personality and be able to work well in a cross-functional team.
India Alternatives Overview
India Alternatives (www.india-alt.com) is a top performing homegrown mid-market private equity firm with a successful investment and exit track record across two Funds. We invest in transformational themes across sectors and back stellar mid-market companies in India that are poised to become market leaders and category creators. 2/3 of our portfolio companies are #1 or #2 in their markets. India Alternatives is backed by blue-chip institutional investors across two Funds.
Broad Scope of Work
- Ensure complete compliance with all constituent documents of the Funds and regulatory requirements
- PPM Audit and other Audits: Liaising with the auditor / sharing requested information with the auditor, ensuring information accuracy, document formatting and timely completion
- Preparing / reviewing / receiving management clearance / completing accurate regulatory filings in a timely manner and sourcing back up documents: FATCA / CRS, FLA, Transaction related filing and reporting (pre and post), Form InVi, SEBI quarterly report, SEBI annual Compliance Test Report, PPM Audit reporting
- Ensuring timely investor / internal reporting and communication: scheduled and immediate
- Assisting in timely completion of transaction related conditions precedent / conditions subsequent on an as required basis
- Updating the team and ensuring SEBI compliances as per regulations and circulars (including new updates), internal policy compliances, compliance with Fund Documents, new investor clearances - implementation, preparing reports, monitoring, reporting and taking requisite action
- Ensuring timely World Check screening of investors, portfolio companies, UBOs, service providers and others as applicable and report / escalate / take action as required
- Reviewing all applicable regulatory portals such as SCORES, ODR etc. at frequent intervals and report / escalate / take action as required
- Reviewing applicable policies and updating them periodically
- Reviewing / updating applicable NDAs, Agreements and Engagement Letters
- Respond to contributor queries, emails and other requests sent to the Fund
- Respond to queries, emails and other requests / notices from Government and regulatory bodies, file responses / rectifications and ensure complete satisfactory closure
- Execute pledge process / prepare other process notes / forms required by distributors / contributors / others
- Ensure timely communication to Trustee / contributors on Fund matters / reporting as required
- Leading / providing support for new legal / compliance related initiatives as and when needed
- Providing support to the team as and when needed across activities
Please email your CV to Darshan Gandhi and Rinette Amanna at darshan.gandhi@india-alt.com and rinette.amanna@india-alt.com. We will reach out to the shortlisted candidates.
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