Senior Compliance Officer
7 days ago
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 compliance guidance to our investment and operations teams.Key ResponsibilitiesRegulatory ComplianceEnsure compliance with all SEBI regulations pertaining to AIFs including amendments, circulars and guidelinesManage periodic reporting, filings and disclosures to SEBI, investors and other regulatorsEnsure compliance with investor and investee agreement of AIFOversee compliance with FEMA, Companies Act, PMLA, Income Tax and other applicable laws as relevant to AIF OperationsFund GovernanceMonitor compliance with fund documentation (PPMs/Amendments to PPM, Contribution Agreements, Investment Management Agreements, Side Letters) in co-ordination with the fund legal counselManage adherence to investment restrictions, leverage limits and reporting standardsAdvise from a regulatory perspective during fund structuring, product design, and documentationRisk & Investor ProtectionMonitor KYC/AML Compliance for all investors in line with PMLA guidelinesOversee marketing materials, quarterly/annual updates and such communication to be sent to investors/SEBI.Identify potential compliance risks and recommend corrective actionsInternal ControlsDesign, implement and monitor compliance manual consisting of policies, checklists and SOPsConduct periodic compliance testing and audits to assess regulatory adherenceMaintain compliance records, registers and related Compliance systemsStakeholder ManagementLiaise with regulators, auditors, legal counsel and custodiansCollaborate with investment, operations, finance and risk teams to ensure compliance alignmentProvide training and updates on regulatory changes to internal teamsQualifications & ExperienceEducation: CA/CS/LLB/MBA or equivalent professional qualificationExperience : 8+ years of total experience with 3+ years of AIFs Compliance experienceSolid knowledge of SEBI AIF experience, Companies Act, FEMA, PMLA with respect to fundsStrong track record of managing compliance audits, regulatory inspections and filingsDesired Skillsets :Strong analytical and problem-solving skills with detail-oriented approachExcellent communication skills to interact with functional leadership and regulatory bodiesAbility to balance business needs with regulatory requirementsHigh integrity and strong ethics.
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Senior Compliance Officer
6 days ago
Mumbai, Maharashtra, India ValueQuest Investment Advisors Full time ₹ 15,00,000 - ₹ 25,00,000 per yearAbout 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...
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Senior Compliance Officer
6 days ago
Mumbai, India ValueQuest Investment Advisors Full timeAbout 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...
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Senior Compliance Officer
6 days ago
Mumbai, India ValueQuest Investment Advisors Full timeAbout 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...
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Mumbai, India Weekday AI Full timeThis role is for one of Weekday’s clients Min Experience: 4 years Location: Mumbai JobType: full-time Requirements We are seeking a dedicated and detail-oriented Compliance Officer with at least 4+ years of experience in the financial services industry, with a strong focus on Regulatory Investment Advisory (RIA), Non-Discretionary (ND) portfolio...
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Senior Compliance Officer
1 week ago
Mumbai, India ValueQuest Investment Advisors Full timeAbout 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...
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Senior Compliance Officer
1 week ago
mumbai, India ValueQuest Investment Advisors Full timeAbout 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...
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Senior Compliance Officer
1 week ago
Mumbai, India ValueQuest Investment Advisors Full timeAbout 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...
