Compliance Officer

22 hours ago

Mumbai, Maharashtra, India 4S Advisory Full time ₹ 15,00,000 - ₹ 20,00,000 per year

About the job:

Exciting opportunity to join a top performing private equity firm as a Compliance Officer.

The Compliance Officer will play a critical role in ensuring that our firm and its funds adhere to all relevant laws, regulations, and internal policies.

The ideal candidate will have a strong understanding of regulatory environment and a commitment to upholding the highest standards of integrity and ethical conduct.

The ideal candidate should be an undergraduate from a Tier 1 college and have additional qualifications of being a CS LLB.

The ideal candidate should have 7-10 years of work experience in the compliance role preferably at an AIF MF PMS.

The ideal candidate should be a self-driven individual with a positive personality and be able to work well in a cross-functional team.

Broad Scope of Work

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

PPM 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

Execute pledge process prepare other process notes forms required by distributors contributors others

Ensure timely communication to Trustee contributors on Fund matters reporting as required

Leading providing support for new legal compliance related initiatives as and when needed

Providing support to the team as and when needed across activities.

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