Role: Senior Manager Compliance

Company Overview:

 We specialize in providing capital and differentiated access to capital markets for high-potential growth assets. Our focus lies on mid-to-late-stage private equity investments, supported by a seasoned team of investors and experienced operators. With over INR 2,000 Crores under management across two funds, we have the resources and expertise to help achieve growth aspirations of innovative Indian Entrepreneurs.

We are committed to identifying and supporting Innovative enterprises with transformative technologies and business models that address challenges and opportunities in Consumer, Financial Services, Software, Energy, and new age manufacturing among others.

Role overview:

We are seeking an experienced and dynamic professional to join our Compliance & Legal team to lead the compliance & legal domain of the fund. The ideal candidate will have a strong background in venture capital, private equity, or investment banking, with a deep understanding of the Compliance & Legal domain and with a proven track record.

Roles and Responsibilities

• Ensure SEBI reporting for AIFs (alternate investment funds) & compliances with regards to SEBI/ RBI are adhered to
• Assist in various audits: PPM Audit, Internal Audit and Statutory Audit
• Conduct Legal due diligence on potential investments, reviewing offer documents, contracts, and regulatory filings
• Prepare and review fund documentation, including subscription agreements, side letters and partnership agreements & Assisting the Compliance Head with portfolio monitoring and reporting, ensuring compliance with investment restrictions and regulatory requirements
• Manage legal and compliance risks by staying current on relevant laws and regulations, identifying potential issues, and proposing solutions & provide legal advice and support to the investment team and other departments as needed
• Drafting/ reviewing term sheets and Transaction documents (like share subscription agreement, shareholders agreement, share purchase agreement etc) related to investments
• Preparing transaction related Compliance Note
• Preparing minutes of the IC meeting and IC resolution and ensuring all the Investment related documentation is in place & Co-ordinating with the Investment and Operation team for smooth closure of the Pre & Post Investment activities
• Drafting/ reviewing of various policies, procedures, processes applicable to Fund Manager or AIFs from time to time, including but not limited to PMLA Policy, Conflict of Interest Policy, Risk Management Policy, Outsourcing Policy, Stewardship Policy, etc
• To assist nominee directors in applicable Companies, Act compliances such as DIR-3 KYC, MBP-1, DIR- 8, DIR-2 etc
• To keep track on regulatory update for AIFs/ VCFs/ PMS Businesses, timely update to management
• Manage relationships with external legal counsel

Experience:

4 to 5 years in AIF Industry part of Compliance and Legal team

Qualification:

LLB and CS is mandatory

Location: Mumbai