Compliance Officer

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 :

Chartered Accountant (CA) / Company Secretary (CS) / MBA Finance with 5–8 years of experience in AIF / PMS fund administration and compliance.

NISM XIX C or XIX D certification.

Strong understanding of SEBI AIF Regulations, fund accounting, and investor reporting.

Proficiency in MS Excel and financial analysis; excellent drafting and communication skills.

Strong coordination, stakeholder management, and time management abilities.