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.
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

Work arrangement
No