[15h Left] Senior Compliance Officer

4 weeks 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.


  • Pf Compliance

    2 weeks ago


    Bandra, Mumbai, Maharashtra, India Hinduja Global Solutions Full time

    **Key Responsibility Areas**: ŸHaving Hands-on Provident Fund Forms, PF Calculations, and process ŸExcellent knowledge of the Provident Fund, Employees' Pension Scheme, EDLI, and IW provision. ŸVisiting Provident Fund, and Govt Office for Enquires ŸAttend Provident Fund Inspection ŸFill Up the Provident Fund Nomination Form i.e. Form 2, Form...


  • Mumbai, India The Bridgespan Group Full time

    Job Description About the Bridgespan Group The Bridgespan Group (Bridgespan) is a global nonprofit that aims to build a better world by strengthening the ability of mission-driven organizations, philanthropists, impact investors, and corporations to achieve breakthrough results in addressing society's most important challenges and opportunities. Founded in...

  • Senior Accountant

    2 weeks ago


    Mumbai, India Sovos Compliance Full time

    Build your future with Sovos. If you're seeking a career where innovation meets impact, you've come to the right place. As a global leader, Sovos is transforming tax compliance from a business requirement to a force for growth while revolutionizing how businesses navigate the ever-changing regulatory landscape. At Sovos, we're dedicated to more than just...


  • Mumbai, Maharashtra, India Equinix Full time

    Who are we Equinix is the world s digital infrastructure company shortening the path to connectivity to enable the innovations that enrich our work life and planet A place where bold ideas are welcomed human connection is valued and everyone has the opportunity to shape their future Joining our operations team means being at the center of...


  • Mumbai, Maharashtra, India ValueQuest Investment Advisors Full time ₹ 15,00,000 - ₹ 25,00,000 per year

    About the jobWe 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...


  • Mumbai, India Sovos Compliance Full time

    Build your future with Sovos. If you're seeking a career where innovation meets impact, you've come to the right place. As a global leader, Sovos is transforming tax compliance from a business requirement to a force for growth while revolutionising how businesses navigate the ever-changing regulatory landscape. At Sovos, we're dedicated to more than...


  • Mumbai, India Sovos Compliance Full time

    Build your future with Sovos. If you're seeking a career where innovation meets impact, you've come to the right place. As a global leader, Sovos is transforming tax compliance from a business requirement to a force for growth while revolutionising how businesses navigate the ever-changing regulatory landscape. At Sovos, we're dedicated to more than just...


  • Mumbai, India CapitalXB Full time

    Experience Required: 10+ years PQE Reporting To: Executive Director About the Company: We are a Factoring NBFC, with AD Category III license, committed to providing innovative financial solutions with a strong focus on regulatory compliance and governance. Currently we are focusing on the domestic and export factoring and structured transactions in the...


  • Mumbai, India Left of Centre Marketing Full time

    Job Description Company Description Left of Centre Marketing is a Video Production House that excels in all type of marketing activities. We thrive on striking a balance between innovation and moderation to deliver unique marketing solutions. Our goal is to continually reinvent ourselves to meet the evolving needs of our clients, ensuring their success in...

  • IT Compliance Officer

    2 weeks ago


    Mumbai, India 23Dept Full time

    Job Description The IT Compliance Officer is responsible for ensuring that the organization's information technology systems and processes comply with relevant laws, regulations, and internal policies. This role involves assessing risks, implementing compliance programs, conducting audits, and collaborating with various departments to maintain a secure...