ValueQuest Investment Advisors - Senior Compliance Officer - Alternative Investment Fund

Senior Compliance Officer - Alternative Investment Fund (10-12 yrs)

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