Compliance Officer - AIF - CS/LLB

Job Summary:

The Compliance Officer will be responsible for ensuring that the Alternative Investment Fund (AIF) operations comply with SEBI (Securities and Exchange Board of India) regulations, internal policies, and industry best practices. The role requires a strong understanding of regulatory frameworks applicable to AIFs, risk management, and investor protection measures.

Key Responsibility:

- Hands on knowledge of Compliance of AIF.

- Close coordination with operations team/tax advisors/fund accountant/ bankers/custodians/ NSDL/CDSL/Brokers to review processes.

- Drafting, reviewing and negotiating various client commercial agreements including Distribution Agreement, Referral Agreement, Master Service Agreement, Consulting Agreement, Vendor/ Outsourcing Agreement.

- Drafting and reviewing of fund documents including Private Placement Memorandums, Investment Manager Agreements, Trust Deeds, Contribution Agreements, Policies etc.

- Monitor changes in laws, regulations, and guidelines issued by SEBI, RBI, and other regulatory authorities, and implement necessary changes in policies and procedures.

- Handling compliances under SEBI (AIF Regulations), SEBI Reporting/SEBI Filing.

- Handling investor complaints and queries received thereunder.

- Responding to legal notices and queries received from various regulators.

- Responding and resolving ad-hoc real time legal queries raised by internal departments.

- Managing and handling various audits viz. internal audits, secretarial audits, etc.

- Attending board meetings and drafting of minutes thereof.

- Preparing agendas, drafting resolutions and notices, and filing of various forms and returns.

Experience, Skills and Personal Qualities:

- Experience - 2 to 5 years of experience in handling the compliance and risk management function in allied industries

- Education- Company Secretary/LLB