Compliance Officer

Hiring: Compliance Officer – Alternative Investment Fund (AIF)

Location: Lower Parel, Mumbai

Experience: 5–8 Years

Industry: Alternative Investment Funds / Investment Management

Reporting To: Managing Partner

We are looking for an experienced Compliance Officer to manage and strengthen the compliance framework for a Category I Special Situation Fund (SSF) and its Investment Manager.

The role will involve working closely with the Investment, Legal, Finance, Operations, Trustee and external advisory teams to ensure end-to-end regulatory compliance.

Key Responsibilities

• Manage compliance with SEBI AIF Regulations, circulars, guidelines and regulatory requirements

• Develop and maintain the annual Compliance Calendar and Compliance Plan

• Monitor PPM compliance, investment restrictions, limits and fund documentation

• Review proposed investments and transactions from a regulatory and PPM compliance perspective

• Prepare and manage periodic Compliance Test Reports (CTR)

• Identify compliance gaps, risks and exceptions and drive remediation

• Ensure timely SEBI regulatory filings, disclosures and reporting

• Maintain regulatory trackers, compliance risk registers and audit closure trackers

• Coordinate SEBI inspections, internal/external audits and regulatory queries

• Prepare compliance reports for the Board and Trustee

• Monitor investor KYC, AML and due-diligence requirements

• Support compliance reviews involving stressed assets, distressed debt, Security Receipts and insolvency-related transactions

• Track regulatory changes and ensure timely implementation across the fund

Qualification

CA / CS / MBA or equivalent professional qualification with relevant experience in AIF compliance, fund management, investment management or securities markets.

NISM certification applicable to AIF Compliance Officers is required.

Ideal Candidate Profile

• 5–8 years of relevant experience in AIF Compliance / Investment Management
• Mandatory hands-on AIF regulatory compliance experience
• Strong knowledge of SEBI AIF Regulations, PPM, CTR, SEBI filings & compliance monitoring
• NISM certification/exam for AIF Compliance Officers – mandatory & cleared
• Category I AIF / Special Situation Fund (SSF) experience preferred
• Exposure to stressed/distressed assets, private credit/debt & IBC/CIRP is an advantage
• CA / CS / MBA or equivalent qualification preferred

MUST-HAVE SKILLS

AIF Compliance

SEBI AIF Regulations

AIF

Special Situation Fund

PPM Compliance

Compliance Test Reports

SEBI Regulatory Filings

Investor Compliance

Trustee Coordination

SEBI Inspections

Stressed Assets

Distressed Debt

Private Markets

Debt Investments

Insolvency Transactions

NISM Certification