Compliance Manager – Alternative Investment Fund SKS Enterpprises

The Corporate Institute; India; Vor Ort; INR 1.800.000 - 2.400.000; Vollzeit

Zusammenfassung

The Corporate Institute is seeking a senior compliance leader to oversee all compliance activities for Category II and III AIFs in India. The role collaborates with Group Compliance to design frameworks, manages regulator interactions, and drafts essential filings and policies to ensure strict adherence to IFSCA, SEZ, RBI, and other standards.

Responsibilities include monitoring regulatory changes, updating governance documents, and supporting client onboarding and fund operations.

Qualifikationen

• A professional qualification or postgraduate degree in finance, law, accountancy, business management, commerce, economics, capital markets or banking.
• Postgraduate diploma or degree preferred.
• Minimum of 5 years experience in compliance or regulatory affairs in securities/financial products.

Aufgaben

• Oversee and manage all compliance activities for AIFs and reporting with IFSCA, SEZ and other regulators.
• Develop compliance framework/manual for IFSC-GIFT business in collaboration with Group Compliance Team.
• Regulatory interaction management with IFSCA and GIFT authorities; prepare/regulatory filings and communications.
• Draft or review policies and procedures for Fund Management Entities or AIFs (e.g., AML/KYC, risk, conflicts, outsourcing).
• Obtain registrations under CKYC, KRA, LEI, FATCA, RBI FIRMS; ensure investor due diligence compliance.

Kenntnisse

Regulatory compliance knowledge

Analytical skills

Communication skills

Interpersonal skills

Attention to detail

Ausbildung

Professional qualification

Postgraduate degree

Finance/Law background

Tools

Compliance software

Jobbeschreibung

Mandatory Requirement:

Oversee and manage all compliance activities for Category II and Category III Alternative Investment Funds (AIFs), ensuring adherence to applicable regulations, internal policies, and governance standards.

Ensure full regulatory compliance with the requirements of the International Financial Services Centres Authority (IFSCA), SEZ authorities, and other relevant regulatory bodies, including monitoring, reporting, and implementation of compliance frameworks.

Job Roles and 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 escalates 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.

Qualifications:

• – A professional 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.

Skills and Competencies:

• – Strong knowledge of regulatory requirements for financial services.
• – Effective communication and interpersonal skills.
• – Ability to work independently and manage multiple tasks.
• – Proficiency in using compliance software and tools.