AlphaGrep Investment Management Private Limited (AlphaGrep IM) is a Quantitative Investment Management firm offering regulated funds, Portfolio Management Services (PMS), Alternative Investment Funds (AIF), and Investment Advisory services to domestic and global clients.
AlphaGrep IM is the brainchild of the team at AlphaGrep, a SEBI-regulated broker and multi-asset proprietary trading firm focused on quantitative trading across more than 20 global exchanges.
We are looking for a bright and resourceful individual to join our Compliance team in Mumbai.
Function: Compliance
Business Coverage: AIF | PMS | Investment Advisory
Experience: 3–5 years
Location: BKC, Mumbai
Reporting To: Head – Compliance
We are looking for a Compliance professional to join our Compliance team and independently manage regulatory compliance for the organisation's SEBI-regulated Alternative Investment Fund (AIF), Portfolio Management Services (PMS), and Investment Advisory (IA) businesses.
The ideal candidate should have strong practical knowledge of SEBI regulations applicable to AIF, PMS and Investment Advisers, with the ability to independently identify regulatory requirements and translate them into actionable compliance processes.
Monitor and ensure compliance with applicable SEBI regulations, circulars, notifications, guidelines and regulatory directions relating to AIF, PMS and Investment Advisory businesses.
Track regulatory developments and assess their applicability and impact on the business.
Maintain and update the regulatory compliance calendar and ensure timely completion of regulatory requirements.
Provide regulatory guidance to business, investment, operations and other internal teams.
Review compliance requirements relating to AIF scheme/PPM documentation, investment restrictions, disclosures, investor reporting and other regulatory obligations.
Monitor PMS client onboarding, agreements, investment mandates, disclosures and applicable regulatory requirements.
Review periodic compliance and regulatory reports for AIF, PMS and Investment Advisory.
Assist with PPM-related regulatory compliance, audits and filings.
Conduct periodic compliance reviews and testing across AIF, PMS and Investment Advisory activities.
Monitor compliance with investment restrictions, exposure limits, client mandates and other applicable investment-related requirements.
Identify compliance gaps and recommend corrective and preventive actions.
Maintain appropriate evidence and documentation for compliance testing and reviews.
Coordinate and ensure timely submission of regulatory returns and filings applicable to AIF, PMS and Investment Advisory businesses.
Review regulatory submissions for accuracy, completeness and consistency.
Coordinate with Operations, Finance, Fund Accounting, Legal and other teams for information required for regulatory reporting.
Maintain a repository of regulatory filings, acknowledgements and supporting documents.
Draft, review and periodically update compliance policies, SOPs and internal controls applicable to AIF, PMS and Investment Advisory.
Ensure policies
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