Compliance Lead

1 week ago


Mumbai Metropolitan Region, India Aptita Full time ₹ 43,20,000 per year

Compliance Lead –

CAT III AIF

  • Exp : years
  • Budget @@@ : 32 – 36 Lakhs
  • Qualification : CA / CS / LLB / MLB
  • Compliance of all regulations pertaining to Category 3 AIF at SEBI, in relation to investment and reporting from time to time to SEBI. Quarterly / time to time reporting & keep the record for audit.
  • Documentation and Compliances of Investee Companies/ investor's and keeping the record and compliance with investor and investee agreement of AIF CAT 3.
  • Reviewing all marketing materials, quarterly/annual updates, all communication to be sent to investors/SEBI.
  • Drafting, vetting, negotiating, and finalizing AIF documents – PPMs/Amendments to PPM, Contribution Agreements, Side Letters etc. in co-ordination with the fund legal counsel.
  • Drafting/reviewing Compliance Manual and other policies for AIFs.
  • Reviewing/vetting all service-related agreements for AIFs, NDAs, Engagement letters etc.
  • Maintenance of KYC of investors and time to time reporting about fund progress. Record keeping.
  • Accounting, Taxation, and related compliances Audit reports.
  • Review of investment in periodic interval, risk analysis and reporting.
  • Stay updated on relevant laws, regulations, and guidelines from SEBI and other regulatory bodies affecting AIF CAT III
  • Take part in identifying, assessing, and mitigating compliance risks associated with AIF CAT III
  • Provide regulatory inputs during fund structuring, product design, and documenta


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