Compliance Officer - PE/VC Firm - CS/LLB (5-8 yrs)

Position Name - Compliance Officer

Location - Mumbai

Experience Range - 5+ years post qualification

Qualification - CS/LLB

Mandatory Requirement :

- Proficient in managing core secretarial functions with a strong ability to review and interpret legal documentation effectively.

- Ensuring fund compliance, taking ownership of fund operations and Stakeholder and Regulatory Engagement

About the client: Company focuses on providing growth capital to promising small and medium enterprises (SMEs) across diverse sectors. The fund aims to foster innovation, scalability, and long-term value creation for its investors and portfolio companies.

Job Roles and Responsibilities :

- Initiate and drive process rigor and accuracy, ensuring compliance with Corporate laws and other relevant regulations

- Collaborate with various stakeholders related to AIF operations, both within and outside the organization, to align on compliance objectives and drive key opportunities

- Manage compliance and maintain relationships with regulatory bodies such as the Ministry of Corporate Affairs, Registrar of Companies, Reserve Bank of India, Securities and Exchange Board of India (SEBI), and other statutory authorities

- Implement and oversee Corporate Governance processes to ensure adherence to best practices and regulatory standards

- Ensure timely and accurate submission of all required regulatory filings and documentation

- Oversee processes and filings related to Provident Fund (PF) and other retiral trusts, Corporate Social Responsibility (CSR), and Prevention of Sexual Harassment (POSH) Committees

- Adhere to all rules and regulations concerning company practices and procedures, supporting compliance with statutory requirements and facilitating legal compliance audits

- Provide guidance on Company Law matters, including document management, litigation strategy, and process improvements. Anticipate and address a diverse range of legal and business issues proactively

- Advise the Board of Directors on key managerial and corporate governance issues. Develop and implement policies and procedures to support the company's objectives

Qualification and Experience:

- The role involves ability to work alone as a sole team member handling fund compliances

- Outstanding Interpersonal skills, with an ability to build a strong network with different stakeholders

- Key to details and anticipating issues beforehand and finding resolutions by working with different stakeholders

- Excellent documentation ability and process oriented mindset

- An experience of 5+ years post qualification , in core secretarial activities with an ability to review legal documentations