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Alpha Alternatives
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Compliance Officer - AIF/PMS

Compliance Officer - AIF/PMS

Alpha Alternatives

5 - 10 years

50 - 60 Lacs

Mumbai

Posted:1 day ago| Platform:

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Skills Required

C Compliance NBFC Mutual funds Fixed income Asset management Stakeholder management Financial services Auditing SEBI

Work Mode

Work from Office

Job Type

Full Time

Job Description

About the Company:

Alpha Alternatives is a multi-asset class alternatives asset management platform based out of India Singapore C Dubai, with over 20000 crores of assets under management, and deep focus on alpha generation. We are passionate about finding alternative investment opportunities that can deliver superior risk-return characteristics. We operate across various alternative spaces like Equities, Commodities, Absolute Returns, Structured Credit, Fixed Income, Quant, Infrastructure, Real Estate. Our products span across various investment structures such as AIF (Cat II C III), PMS, RIA, NBFC (ND-SI), and Gift City.

Our team consists of 210+ people who are vastly experienced across domestic and global hedge funds and financial institutions and have strong academic credentials at top universities. We are strongly driven and look for people who share a similar DNA.

We are seeking a Company Secretary (5-10 years of experience) as our Compliance Officer for SEBI registered entities who is looking forward to an extremely intense and challenging role in our hedge fund-style investing platform. An ideal candidate would be someone who has held a position in a similar profile in the asset management / financial services space. Candidates with specific experience in the AIF/PMS/Mutual Fund space will be highly preferred.

Roles And Responsibilities:

a. Lead the entire compliance function end-to-end for all SEBI registered licenses

i. Establish and implement all the compliance policies that are applicable to all SEBI registered and regulated investment licenses - AIF, PMS, RIA. Regularly review and upgrade the policies as required by regulation.
ii. Build and implement processes and systems to ensure smooth functioning w.r.t compliance function iii. Review and ensure timely and accurate submissions of various regulatory filings are on time and accurate. iv. Facilitate establishing an audit and compliance testing program.

b. Stakeholder Management

i. Monitor regulatory changes, assess impact on business, provide comments on consultative papers and act as a Nodal point of contact between the Company and SEBI and to be a participant in the consultations or other regular discussions.
ii. Ensuring the timely response/ interactions thereof to the SEBI onsite and offsite inspections and be the central coordinator for any regulatory exercises. iii. Lead and facilitate interactions with the Board, Audit Committee, and other committees. Apprise all with the status of compliance with respect to the regulatory requirements and assist them to make an informed judgment on whether the SEBI registered entity/funds are managing its compliance risk effectively. iv. Work in a team of 5-6 members and lead 1-2 staff

c. Value Addition

i. Get deeply involved with the Product team in creation of financial strategies/products right at the inception and provide understanding of applicable regulations
ii. Lead the exercise for prospective licenses like Mutual Fund etc. iii. Interpret regulations and seek clarifications from Regulator and from the market, as required. iv. Assess changing regulations and proactively highlight potential risk areas and implement solutions accordingly.

d. Recommend And Institutionalize Best Governance Policies And Practices.

DNA:

a. We expect you to have higher energy, higher intellectual capability and a desire to handle bigger responsibilities than an average professional of your age/experience will generally do. b. We expect you to take a lot of initiative to do on-the-job learning about different financial instruments and products. c. We expect you to create a positive environment for your team and help your team members grow professionally as well.

In the long run, if you do well, you can expect to create disproportionately higher value for yourself.

Office location will be in Dadar, Mumbai.

Candidates applying from cities other than Mumbai shall have a clear conviction about moving to Mumbai before applying. WFH only in case of exigency and not in routine course.

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Alpha Alternatives

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Compliance Officer - AIF/PMS