Compliance – Assistant Vice President

Company Overview

Not specified.

Job Summary

The Compliance – Assistant Vice President will oversee compliance, legal, and corporate secretarial activities for the External Asset Management (EAM) business, including Alternative Investment Funds (AIFs) and related asset management platforms. This role requires strong regulatory interpretation, stakeholder management, and risk assessment capabilities, acting as the designated Compliance Officer for AIFs under SEBI AIF Regulations.

Responsibilities

• Ensure ongoing compliance with SEBI AIF Regulations, circulars, and guidelines.
• Oversee fund-level compliance, including drawdowns, distributions, and investor reporting.
• Manage regulatory compliance for the setup and operation of asset management platforms, including AIFs, Investment Advisors, and Portfolio Managers.
• Legal review and negotiation of agreements, including NDAs and fund documentation.
• Handle corporate secretarial matters, prepare board meeting materials, and maintain statutory compliance records.
• Act as a key point of coordination with various stakeholders, including regulators, auditors, and service providers.

Qualifications

• Qualified Company Secretary (CS); LLB preferred.
• Additional compliance or regulatory certifications are advantageous.
• 8+ years of experience in compliance, legal, or secretarial roles within AIFs, asset management companies, or regulated financial entities.
• NISM Certification as required under SEBI AIF Regulations for Compliance Officers (existing or to be obtained within the stipulated period post-joining).
• Strong regulatory interpretation and judgment skills.
• Excellent stakeholder management and communication abilities.

Preferred Skills

• Experience in SEBI-facing roles and regulatory inspections.
• Ability to balance commercial objectives with compliance requirements.
• High ownership mindset with attention to detail and governance standards.

Experience

8+ years of experience in compliance, legal, or secretarial roles within alternative investment funds, asset management companies, or financial services.

Environment

The typical work setting is based in Mumbai, with expectations of regular interaction with regulatory bodies and various stakeholders in the EAM ecosystem. The work may involve in-office attendance, depending on company policy.

Salary

Not specified.

Growth Opportunities

Not specified.

Benefits

Not specified.