Compliance Officer

Role Definition
Compliance Officer af a Category – II Alternative Investment Fund

Responsibility
DeliverableCompliance Officer and Operations Manager

Tasks & ActivitiesKey Responsibilities
•Act as the Fund's Compliance Officer and maintain the master compliance calendar.
•Monitor applicable SEBI AIF Regulations, circulars, guidelines and regulatory updates.
•Coordinate with Compliance team for regulatory interpretations, filings and compliance activities.
•Track, review and ensure timely completion of all regulatory compliances.
•Identify regulatory changes and assess their impact on the Fund.
•Coordinate with Trustee, Custodian, RTA, Fund Accountant, Auditor, Legal Counsel and other service providers.
•Oversee investor onboarding, KYC/AML, FATCA/CRS, documentation, capital calls, unit issuance and investor reporting processes.
•Oversee fund accounting, expenses, tax and audit processes handled by external professionals.
•Maintain compliance, operational, document and regulatory trackers.
•Conduct regular server vs physical-file document reconciliation and ensure the Fund remains audit-ready.
•Prepare weekly Compliance & Operations MIS for management.
•Develop SOPs, checklists and internal processes for the AIF.
•Monitor outstanding actions and ensure timely closure.
•Escalate potential compliance issues, delays, breaches or regulatory risks to management.
•Support other AIF-related operational, research and investor activities as required.

Education
B.Com / BBA / BMS or equivalent
MBA/PGDM, CA Inter, CS, LLB, CFA or relevant financial-market qualifications will be an advantage.
ExperienceCandidates with experience in:
•AIFs
•Mutual Funds
•PMS
•Wealth Management
•SEBI-regulated entities
will be preferred
CertificationNISM III-C Mandatory
Stipend/ CTC Range

50,000 per month, depending on experience and suitability.

Skills –
We are looking for someone who is:
•Highly organised and detail-oriented
•Strong in follow-ups and coordination
•Comfortable working with multiple stakeholders simultaneously
•Interested in SEBI regulations and financial markets
•Able to independently research regulatory requirements
•Strong in Excel and documentation
•Good at preparing MIS, trackers and reports
•Capable of managing an intern/junior team member
•Proactive, accountable and execution-oriented
•Comfortable working in a fast-paced investment-management environment
•Advanced MS Excel
•Pivot Tables
•XLOOKUP / VLOOKUP
•SUMIFS / COUNTIFS
•Financial & logical functions
•Data validation & conditional formatting
•Basic Macros
•MIS / Dashboard preparation
•MS PowerPoint
•MS Word
•Google Workspace
•CRM / Task-management tools
•AI tools – ChatGPT, Claude, Perplexity, etc.