Compliance Officer

Role Definition
Compliance Officer af a Category – II Alternative Investment Fund
Responsibility
Deliverable Compliance Officer and Operations Manager
Tasks & Activities Key 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.
Experience Candidates with experience in:
• AIFs
• Mutual Funds
• PMS
• Wealth Management
• SEBI-regulated entities
will be preferred
Certification NISM 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.

Work arrangement
No