Compliance and Investor Relations Lead

Position Name - Compliance Officer

Location - Mumbai

Experience Range - 5 to 8 years

Job Roles and Responsibilities :

• The role involves end-to-end responsibility for fund administration, investor servicing, compliance, and coordination with key stakeholders for Indias leading early-stage Angel fund(s).
• The position requires strong regulatory understanding, financial acumen, and client-facing capability to support fund operations and governance.
• Coordinate with Custodian, RTA, Fund Accountant, and banks for fund-related operations.
• Manage account opening (bank / demat) with custodians and ensure timely fund movement.
• Handle documentation for AIF / PMS investor onboarding and fund operations.
• Prepare and manage corporate actions, dematerialization of units, and investor records.
• Portfolio valuation, NAV computation, and cashflow preparation.
• Manage month-end Management Fee booking and ensure accurate accounting treatment.
• Prepare and circulate MIS reports to Founders / Management on fund performance and cash positions.
• Prepare and review compliance and regulatory reports to SEBI, Trustees, and Investors.
• Ensure adherence to SEBI AIF Regulations, RBI Regulations, PMLA, and other applicable laws.
• Draft and update policies, procedures, and internal control SOPs in line with regulatory changes.
• Prepare compliance test reports, quarterly filings, and ensure timely submissions.
• Maintain documentation for Board and Committee meetings, minutes, and governance records.
• Interface with auditors, legal counsel, and regulators on compliance / audit matters.
• Monitor investment limits and ensure periodic review of portfolio-level compliance.

Qualification and Experience :

excellent drafting and communication skills.