MANDATORY REQUIREMENTS

- Managing end-to-end compliance activities for Category II and Category III Alternative Investment Funds (AIFs), ensuring adherence to regulatory requirements, internal policies, and governance standards.
- Ensuring compliance with IFSCA, SEZ, and other applicable regulatory frameworks through effective monitoring, reporting, and implementation of compliance controls.
- Reviewing regulatory changes, conducting compliance assessments, and supporting audits and governance initiatives to maintain a robust compliance framework.

ABOUT THE CLIENT

Our client is a global alternative investment firm specializing in private equity, credit, real assets, and absolute return strategies, managing capital for institutional and sovereign investors across multiple markets.

JOB ROLES & RESPONSIBILITIES

- Independently managing all the ongoing compliances and reporting with IFSCA, SEZ and all other regulators
- Work closely with the Group Compliance Team to develop compliance framework/ manual for IFSC-GIFT business.
- Regulatory interaction management with IFSCA and GIFT authorities.
- Preparation/drafting of applications/letters/communications with IFSCA, SEZ, RBI, trustee, investors, or other applicable stakeholders for AIFs.
- Drafting or review of various policies, procedures, processes applicable to Fund Management Entity or AIFs from time to time, including but not limited to PMLA Policy, Insider Trading,
- Conflict of Interest Policy, Risk Management Policy, Outsourcing Policy, Stewardship Policy,
- Obtaining necessary registrations under CKYC, KRA, LEI, FATCA, FLA, RBI - FIRMS Portal.
- Ensuring compliances around investor due diligence: AML/KYC checks, world check screening, FATCA compliances
- Designing and conducting trainings as required under IFSCA.
- Support Group Compliance on Group level initiatives.
- Operations support for the client onboarding and client life cycle.
- Assistance in resolving the operational issues raised by the Fund Administrators with respect to client accounts.




- Assisting in investment process by AIF and assist to review and maintenance of transaction
- documents, conditions precedent and subsequent in relation to investment by AIF.
- Monitor changes in regulatory requirements and industry best practices, and update compliance policies and procedures accordingly.
- Conduct regular reviews and assessments to ensure that the fund's operations comply with regulatory requirements and internal standards.
- Monitor and report on key compliance metrics and indicators, and escalate issues to senior management as necessary Secretarial compliances as required under the Companies Act 2013
- Reporting to the Board and liaison with Board of directors, internal & external stakeholders Conducting of Board, general and other committee meetings.
- Drafting of minutes of Board, general and other committee meetings and follow up actions Thereof.
- Maintaining statutory registers as required under the Companies Act 2013
- Manage statutory audits on regular basis.
- Develop compliance adherence, monitoring and reporting to the Senior Management

QUALIFICATION & EXPERIENCE

- A skilled qualification or post-graduate degree or post graduate diploma (minimum two years in duration) in finance, law, accountancy, business management, commerce, economics, capital market, banking, insurance or actuarial science/ Company Secretary preferred
- Minimum of 5 years of experience in compliance or regulatory affairs securities market or financial products including in a portfolio manager, broker dealer, investment advisor, wealth manager, research analyst or fund management.
- In-depth knowledge of IFSCA and SEBI regulations governing alternative investment funds

Strong understanding of compliance principles and practices

- Excellent analytical skills and attention to detail, with the ability to interpret and apply complex regulatory requirements.
- Effective communication and interpersonal skills, with the ability to interact confidently with internal and external stakeholders.

OTHER DETAILS

Reporting To: Head of Compliance

Industry Target: FME

Work Model Arrangement: Onsite

📌 Compliance & Risk Officer – AIF (Cat II & III) (Gandhinagar)
🏢 SKS Enterpprises
📍 Gandhinagar