Compliance SMEs For Regulatory Compliance

7 hours ago

Bengaluru, Karnataka, India NTT DATA, Inc. Full time ₹ 9,00,000 - ₹ 12,00,000 per year

About the Job : Responsible for ensuring compliance with SEBI (Alternative Investment Funds) regulations, and other applicable laws/ regulatory requirements for category II AIFs.

The role involves monitoring funds operations, investor reporting, regulatory filings, and providing guidance to business teams on compliance matters

Key Responsibilities

  • Compliance with all regulations pertaining to category II 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/investors and keeping the record and compliance with investor and investee agreement of AIF CAT II.
  • Reviewing of all marketing materials, quarterly / annual updates, all the 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 Compliance audit report.
  • Review of Investment in periodic interval, risk analysis and reporting.
  • Stay updated on relevant, regulations, guidelines from SEBI and other regulatory bodies affecting AIF CAT II.
  • Take part in identifying, assessing and mitigating compliance risks associated with AIF CAT II.
  • Provide regulatory input during fund structuring, product design and documentation.

Qualifications & Experience:

  • CA / CS / LLB / MBA (Finance / Legal / Compliance) preferred.
  • 3 - 6 years experience with 3 years relevant experience in AIF CAT II compliance
  • Strong understanding of SEBI AIF regulations and related fund regulatory framework.

Desired Skillset

  • Attention to detail and ability to work independently.
  • Strong communication and stakeholder management skills
  • Integrity, professional judgement, and problem-solving skills.

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