Compliance

About this job

AlphaGrep Investment Management Private Limited is a quantitative investment management firm that provides regulated funds, Portfolio Management Services, Alternative Investment Funds, and Investment Advisory services. The organization is seeking a compliance professional in Mumbai to join the team and independently handle regulatory compliance for the company's SEBI-regulated AIF, PMS, and Investment Advisory businesses. A normal day in this role involves monitoring adherence to SEBI regulations, reviewing PPM documentation and client onboarding procedures, conducting compliance reviews and testing, handling regulatory filings, updating internal policies and SOPs, and managing AML and KYC controls. The position requires tracking regulatory developments, providing guidance to internal teams, and coordinating with auditors or regulators when necessary to ensure the firm maintains a strong compliance framework.

Responsibilities

• Monitor and ensure compliance with SEBI regulations, circulars, and guidelines for AIF, PMS, and Advisory services.
• Review AIF scheme documentation, PPM filings, and PMS client onboarding requirements.
• Conduct periodic compliance reviews, testing, and monitoring of investment restrictions and mandates.
• Coordinate and ensure timely submission of regulatory returns, filings, and periodic reports.
• Draft, review, and update compliance policies, standard operating procedures, and internal controls.
• Monitor compliance with KYC, AML, and PMLA requirements, including investor due diligence and screening.
• Coordinate with internal and statutory auditors and assist with responses to regulatory queries.

Requirements

• 3 to 5 years of relevant experience in Compliance, Legal & Compliance, or Regulatory Compliance.
• Strong practical knowledge of SEBI regulations applicable to AIF, PMS, and Investment Advisers.
• Ability to independently interpret regulatory requirements and build effective compliance processes.
• Excellent verbal and written communication skills.
• Strong attention to detail, analytical ability, and ownership of responsibilities.
• Proactive approach to identifying regulatory risks with high integrity and stakeholder management skills.

Good to have

• Prior experience with an Asset Management Company, AIF, PMS, Investment Adviser, wealth manager, or fund manager.
• CS, LLB, or Postgraduate degree in Finance, Commerce, Law, or Business Management.

Who should apply

This role suits compliance professionals with 3 to 5 years of experience in the financial services sector, particularly those with a background working in asset management, wealth management, or fund houses. Candidates who possess strong knowledge of SEBI regulations for AIF, PMS, and Investment Advisers and can independently handle regulatory requirements, filings, and AML/KYC controls will find this opportunity a strong fit. Freshers cannot apply as 3 to 5 years of relevant experience is required.

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