Compliance Executive - Sebi Regulations - Alternative Investment Fund

Job Overview: As the Compliance executive, you will be responsible for overseeing and ensuring compliance with all relevant regulations, particularly those set forth by the Securities and Exchange Board of India (SEBI) pertaining to Alternative Investment Funds (AIFs). You will work closely with the management team to establish and maintain robust compliance policies, procedures, and controls to mitigate regulatory risks.

Profile Name: Compliance Executive

Qualification: MBA(Finance)/BBA/LLB/LLM or related field is preferred

Experience - 2 to 5 Years

Location: Delhi

JD Of Compliance Executive:

Key Responsibilities:

1. Interpret and ensure adherence to SEBI AIF Regulations, including but not limited to investment restrictions, disclosure obligations etc.

2. Stay updated on regulatory changes, assess their impact on the organization, and implement necessary adjustments to ensure ongoing compliance.

3. Develop and implement compliance policies, procedures, and controls tailored to the specific requirements of the CAT III AIF, ensuring alignment with SEBI regulations and industry best practices.

4. Regularly review and update compliance policies and procedures to reflect changes in regulations and business operations.

Qualifications:

- Bachelor's degree in Law, Finance, Business Administration, or a related field. Advanced degree or professional certifications (e.g., CS, LLM, or equivalent) preferred.

- Minimum 2-5 years of experience in compliance roles within the financial services industry, with a focus on Alternative Investment Funds (AIFs) and familiarity with SEBI regulations.

- Strong understanding of AIF structures, investment strategies, and regulatory requirements, particularly CAT III AIFs.

- Excellent knowledge of SEBI regulations, guidelines, and circulars related to AIFs, including SEBI (Alternative Investment Funds) Regulations, 2012 is a plus.