Compliance Officer AIF CAT III

Company Overview

Valuequest Investment Advisors is a reputable firm specializing in investment management, primarily focusing on Alternative Investment Funds (AIFs). The company fosters a culture of integrity, compliance, and excellence in managing investments and serving clients.

Job Summary

We are looking for an experienced Compliance professional to manage regulatory and operational compliance for our Category III Alternative Investment Funds (AIFs), encompassing both close-ended and open-ended fund structures registered with the Securities and Exchange Board of India (SEBI). The role requires deep working knowledge of the SEBI (Alternative Investment Funds) Regulations, 2012, and the ability to independently manage the compliance calendar, regulatory filings, investor communication, and internal governance for the fund(s).

Responsibilities

• Ensure end-to-end compliance with SEBI (AIF) Regulations, 2012, SEBI circulars, and Category III-specific requirements.
• Track and implement regulatory changes issued by SEBI, RBI (for FPI/FEMA-linked matters where applicable), and other relevant authorities affecting Category III AIFs.
• Manage compliance distinctly for close-ended schemes (tenure, extension approvals, drawdown/commitment compliance) and open-ended schemes (subscription/redemption cycles, NAV-linked disclosures, liquidity management).
• Ensure timely filing of periodic reports with SEBI, including quarterly/annual reports, PPM compliance certifications, and other prescribed disclosures.
• Oversee AML/CFT policy implementation, investor KYC, FATCA/CRS reporting, and PMLA compliance for domestic and offshore investors.
• Review and provide guidance on onboarding investors from foreign jurisdictions in compliance with applicable regulations.

Qualifications

• Educational Qualifications: CS (Company Secretary), CA (Chartered Accountant), or LLB (Bachelor of Laws).
• 5-10 years of relevant compliance experience in the AIF industry, with specific hands-on exposure to Category III AIFs.
• Strong working knowledge of the SEBI (Alternative Investment Funds) Regulations, 2012 and amendments, PMLA, FEMA (as relevant), and FATCA/CRS.
• Experience handling both close-ended and open-ended fund structures.
• Prior experience in liaising directly with SEBI, custodians, fund administrators, auditors, and other regulatory authorities.
• Strong analytical and documentation skills with attention to regulatory detail.
• Clear and professional communication skills.
• Proficiency in compliance tracking tools.

Preferred Skills

• Ability to independently manage multiple fund compliance calendars.
• High integrity and ability to work under regulatory deadlines.

Experience

5-10 years of relevant compliance experience within the AIF industry.

Environment

The position typically operates in an office setting, with potential hybrid and remote work options based on company policies.

Salary

Salary details are not specified.

Growth Opportunities

Potential career advancement opportunities will be available within the compliance and regulatory arms of the organization.

Benefits

Benefits offered are not specified.