Senior Compliance Officer

6 days ago

Mumbai, India ValueQuest Investment Advisors Full time
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.

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