Senior Compliance Officer
3 days ago
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.
-
Senior Accountant
1 day ago
Mumbai, Maharashtra, India Sovos Compliance Full time ₹ 12,00,000 - ₹ 24,00,000 per yearThe Work You'll DoAs a Senior Accountant based in Mumbai, you will join a dynamic finance team supporting our newly acquired entity in India, part of Sovos' global organization. This role is perfect for a qualified Chartered Accountant with progressive experience who is ready to take on greater responsibility with a global software leader. You will play a...
-
Senior Software Engineer
1 day ago
Mumbai, Maharashtra, India Sovos Compliance Full time ₹ 12,00,000 - ₹ 36,00,000 per yearBuild 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...
-
Junior Accountant
2 days ago
Mumbai, Maharashtra, India Sovos Compliance Full time ₹ 2,50,000 - ₹ 5,00,000 per yearBuild 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...
-
Compliance Officer
7 days ago
Mumbai, Maharashtra, India Equirus Full time ₹ 5,00,000 - ₹ 15,00,000 per yearJob Description:About EquirusAbout Equirus WealthEquirus is a leading mid‐market investment bank with strong practices around M&A, PE, Capital Markets, Institutional Equities, Wealth Management, Insurance Broking, and Portfolio Management Services.For more details you can visit us at Equirus Wealth is a holistic Wealth Management platform founded in 2018...
-
Compliance Officer
2 days ago
Mumbai, Maharashtra, India SKS Enterpprises Full time ₹ 12,00,000 - ₹ 36,00,000 per yearPosition Name - Compliance Officer - PMSLocation - Andheri,MumbaiExperience Range - 5+ yrsMandatory Requirement:Manage Compliance aspects of Portfolio Management Services.Job Roles and Responsibilities:Ensure compliance with SEBI (Portfolio Managers) Regulations, 2020, and other applicable laws.Monitor and implement changes in SEBI circulars, PMS regulatory...
-
IT Compliance Officer
7 days ago
Mumbai, Maharashtra, India ERGO Technology & Services Full time ₹ 12,00,000 - ₹ 24,00,000 per yearThe IT Compliance Officer reports to the Head of IT Audit Coordination APAC based in Singapore. This role sits in the sub tower which is the central point for managing all IT audits and regulatory questionnaires, both internal and external. The goal of the sub tower is to ensure a smooth and effective evaluation process by acting as the primary coordination...
-
Compliance Officer
3 days ago
Mumbai, Maharashtra, India Weekday AI Full time ₹ 1,20,00,000 - ₹ 2,00,00,000 per yearThis role is for one of the Weekday's clientsSalary range: Rs Rs ie INR 12-20 LPA)Min Experience: 5 yearsLocation: MumbaiJobType: full-timeWe are seeking an experienced professional to manage and oversee compliance activities under SEBI AIF and PMS Regulations. The ideal candidate will be responsible for ensuring end-to-end regulatory adherence, handling...
-
Compliance Officer
1 week ago
Mumbai, Maharashtra, India Weekday AI Full time ₹ 12,00,000 - ₹ 2,00,00,000 per yearThis role is for one of the Weekday's clientsSalary range: Rs Rs ie INR 12-20 LPA)Min Experience: 5 yearsLocation: MumbaiJobType: full-timeWe are seeking an experienced professional to manage and oversee compliance activities under SEBI AIF and PMS Regulations. The ideal candidate will be responsible for ensuring end-to-end regulatory adherence, handling...
-
Compliance Officer
2 days ago
Mumbai, Maharashtra, India SKS Enterpprises Full time ₹ 12,00,000 - ₹ 36,00,000 per yearPosition Name - Compliance OfficerLocation - MumbaiExperience Range - 5 to 8 yearsJob Roles and Responsibilities:The role involves end-to-end responsibility for fund administration, investor servicing, compliance, and coordination with key stakeholders for Indias leading early-stage Angel fund(s).The position requires strong regulatory understanding,...
-
Compliance Officer
2 weeks ago
Mumbai, Maharashtra, India SKS Enterpprises - Human Resource Planning and Management Full time ₹ 4,00,000 - ₹ 12,00,000 per yearPosition Name -Compliance OfficerLocation -MumbaiExperience Range -5 to 8 yearsJob Roles and Responsibilities:The role involves end-to-end responsibility for fund administration, investor servicing, compliance, and coordination with key stakeholders for Indias leading early-stage Angel fund(s).The position requires strong regulatory understanding, financial...