Job Preference:
Qualifications & Experience
• Graduate in Commerce, Finance, Business Administration, or a related discipline.
• A postgraduate qualification in Finance, Law, or a relevant professional qualification such as CS
may be preferred.
• Prior experience in AIF compliance, fund administration, financial services, regulatory reporting,
or a similar role will be preferred.
Key Performance Indicators (KPIs)
• Timely and accurate completion of regulatory filings and QAR submissions.
• Timely coordination and closure of PPM audit observations.
• Accuracy and completeness of compliance records and trackers.
• Timely execution and documentation of fund-related corporate actions.
• Adherence to regulatory deadlines and internal compliance procedures.
• Effective coordination with regulators, auditors, RTAs, depositories, and other stakeholders
Qualification:
Any GraduateJob Description:
Key Responsibilities
1. SEBI & Regulatory Compliance
• Ensure compliance with the SEBI (Alternative Investment Funds) Regulations, 2012, applicable
AML/CFT guidelines, circulars, directions, orders, and other regulatory communications.
• Maintain and update regulatory compliance records, trackers, and documentation for AIFs.
• Monitor SEBI notifications, regulatory amendments, and industry developments to assess their
impact on fund operations and compliance requirements.
• Ensure timely completion of applicable regulatory filings, disclosures, and reporting obligations.
2. PPM Audit & Regulatory Reporting
• Coordinate and manage Private Placement Memorandum (PPM) audits for AIFs.
• Liaise with auditors, internal teams, and other stakeholders to facilitate audit requirements and
documentation.
• Track audit observations, coordinate corrective actions, and ensure timely closure of
observations.
• Prepare, review, and submit SEBI Quarterly Activity Reports (QARs) and other applicable
regulatory returns and filings.
3. Fund Operations & Corporate Actions
• Manage and coordinate corporate actions relating to unit allotments, redemptions, and partly
paid-up units, including conversion or transition to fully paid-up units, wherever applicable.
• Coordinate with relevant stakeholders to ensure accurate processing and documentation of
fund-related transactions.
• Maintain records of investor-related corporate actions and ensure compliance with applicable
regulatory requirements.
4. Liaison with Regulatory Bodies & External Stakeholders
• Coordinate with SEBI, Registrar and Transfer Agents (RTAs), Depositories, Depository
Participants (DPs), the Central KYC Records Registry (CKYCR), and KYC Registration Agencies
(KRAs).
• Follow up with external service providers and regulatory authorities for filings, approvals, confirmations, and compliance-related matters.
• Ensure timely resolution of regulatory and operational queries
5. Legal Documentation & Statutory Compliance
• Assist in drafting, reviewing, and maintaining agreements, declarations, notices, undertakings,
and other compliance-related documents.
• Support the review of fund-related legal documentation to ensure alignment with applicable
regulatory requirements.
• Maintain working knowledge of the Companies Act, 2013, the Limited Liability Partnership (LLP)
Act, and other relevant statutory provisions.
• Coordinate with legal advisors and internal stakeholders on documentation and statutory
compliance matters
.
6. Compliance Monitoring & Record Management
• Maintain compliance calendars, regulatory trackers, filing records, and supporting
documentation.
• Monitor compliance deadlines and proactively follow up with relevant teams to ensure timely
completion of assigned activities.
• Identify potential compliance gaps and escalate regulatory risks or delays to the appropriate
stakeholders.
• Ensure proper documentation, record retention, and readiness for internal reviews, audits, and
regulatory inspections.
Required Skills & Competencies
• Good understanding of SEBI AIF Regulations and applicable regulatory compliance
requirements.
• Knowledge of PPM audits, QAR filings, and AIF-related corporate actions.
• Familiarity with AML/CFT requirements, KYC processes, and investor documentation.
• Understanding of the Companies Act, 2013, LLP Act, and related statutory requirements.
• Strong documentation, analytical, and coordination skills.
• Proficiency in MS Excel, Word, and other compliance reporting tools.
• Excellent written and verbal communication skills.
• Ability to manage multiple deadlines, maintain accuracy, and work effectively with internal and
external stakeholders.
Skills:
Required Skills & Competencies
• Good understanding of SEBI AIF Regulations and applicable regulatory compliance
requirements.
• Knowledge of PPM audits, QAR filings, and AIF-related corporate actions.
• Familiarity with AML/CFT requirements, KYC processes, and investor documentation.
• Understanding of the Companies Act, 2013, LLP Act, and related statutory requirements.
• Strong documentation, analytical, and coordination skills.
• Proficiency in MS Excel, Word, and other compliance reporting tools.
• Excellent written and verbal communication skills.
• Ability to manage multiple deadlines, maintain accuracy, and work effectively with internal and
external stakeholders.