Compliance SMEs For Regulatory Compliance

NTT DATA, Inc.

3 - 6 years

9 - 14 Lacs

bengaluru

Posted:3 days ago| Platform:

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Skills Required

regulatory sebi stakeholder management regulations aif management skills documentation investment compliance regulatory compliance accounting regulatory requirements risk analysis record keeping product design cat investor reporting finance

Work Mode

Work from Office

Job Type

Full Time

Job Description

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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