Compliance and Governance Officer

2 days ago


Bengaluru, Karnataka, India Avenue Code Full time

Job Description: Compliance and Governance Officer

About Avenue Code:

Avenue Code is a PE Fund based in Mumbai - Bandra, looking for an experienced Compliance and Governance Officer to join our team.

Key Responsibilities:

  • Ensure complete compliance with all constituent documents of the Funds and regulatory requirements.
  • PMM 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.


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