Regulatory Compliance

- Ensure compliance with SEBI (Alternative Investment Funds) Regulations, 2012, SSF Regulations, and other applicable laws.

- Monitor regulatory updates and assess their impact on the Company's operations.

- Prepare and file periodic returns, reports, and disclosures with SEBI and other regulatory authorities.

- Maintain statutory records, registers, and compliance documentation.

Fund Compliance

- Monitor compliance with the Private Placement Memorandum (PPM), investment guidelines, and regulatory limits.

- Review fund transactions and investment activities to ensure adherence to regulatory requirements.

- Ensure compliance with Category I, Category II, and Special Situation Fund investment conditions.

AML / KYC Compliance

- Oversee KYC, AML, FATCA, CRS, and investor onboarding compliance.

- Ensure compliance with Prevention of Money Laundering Act (PMLA) requirements.

- Coordinate with intermediaries and service providers for compliance-related matters.

Governance & Risk Management

- Develop and implement compliance policies, procedures, and SOPs.

- Conduct periodic compliance reviews and risk assessments.

- Support internal audits, statutory audits, trustee audits, and regulatory inspections.

Stakeholder Coordination

- Liaise with SEBI, Trustees, Custodians, Auditors, Legal Counsel, and other regulatory stakeholders.





- Assist management in compliance-related decision-making and reporting.

- Ensure timely resolution of compliance observations and regulatory queries.

Training & Advisory

- Conduct compliance awareness and regulatory training programs for employees.

- Advise business teams on regulatory requirements and compliance best practices.

Educational Qualification

- Qualified Company Secretary (CS), Chartered Accountant (CA), LLB, or equivalent professional qualification.

- NISM-111 C

- Additional certifications in Securities Laws, Compliance, Risk Management, or Financial Regulations will be preferred.

Experience

- Minimum 510 years of relevant experience in Compliance, Legal, AIF, Asset Management, Financial Services, NBFC, ARC, P Mutual Fund Industry.

- Experience in handling SEBI regulations and fund compliance matters is mandatory.

Key Skills

- Solid knowledge of SEBI AIF Regulations, SSF Framework, Companies Act, PMLA, AML/KYC, and regulatory reporting.

- Excellent drafting, documentation, and communication skills.

- Strong analytical and problem-solving abilities.

- Ability to manage multiple regulatory deadlines and stakeholder interactions.

Compensation

Compensation shall be commensurate with qualifications, experience, and industry standards.

📌 AIF - Alternative Investment Fund - Compliance Officer (New Delhi)
🏢 Seligo Consultants
📍 New Delhi