Compliance

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 Gandhinagar. 

Experience: 3-5 years

About the Role

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.

Key Responsibilities

1. Regulatory Compliance - AIF, PMS & IA

• 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.

2. AIF, PMS & Advisory-Specific Compliance

• 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.

3. Compliance Monitoring & Testing

• 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.

4. Regulatory Reporting

• 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.

5. Policies, SOPs & Compliance Framework

• Draft, review and periodically update compliance policies, SOPs and internal controls applicable to AIF, PMS and Investment Advisory.

• Ensure policies are effectively communicated and implemented across relevant functions.

• Maintain compliance manuals, regulatory trackers and process documentation.

• Assist in developing and strengthening the overall compliance framework and control environment.

6. AML / KYC & Investor Due Diligence

• Monitor compliance with applicable KYC, AML and PMLA requirements.

• Review investor/client onboarding and due diligence processes.

• Monitor screening, sanctions/PEP checks, adverse media and other AML controls.

• Escalate and document AML/KYC exceptions and suspicious activities in accordance with applicable requirements.

7. Audit, Inspection & Regulatory Interaction

• Coordinate with internal auditors, statutory auditors, compliance auditors and external consultants.

• Coordinate with relevant teams for responses to regulatory queries, observations and audit findings.

Qualification

• The candidate must possess a graduate/postgraduate degree or a professional qualification in Finance, Law, Accountancy, Business Management, Commerce, Banking, Capital Markets, or any other relevant discipline from a university or institution recognised by the Central Government, any State Government, or a recognised foreign university/institution/association. Qualifications such as CFA or FRM are also accepted.

Experience

• The candidate must have a minimum of 3 years of post-qualification experience in the securities market or financial products with an eligible institution, along with the prescribed professional certification(s), in accordance with applicable regulatory requirements

• Excellent verbal and written communication skills.

• Strong attention to detail, analytical ability and ownership of responsibilities.