We are looking forward for a suitable candidate for the position of Company Secretary and Compliance Manager role.
Position :- Compliance Officer
Reporting To :- CEO / Designated Partners
Department :- Compliance & Risk
Role Summary
Responsible for ensuring compliance with SEBI AIF Regulations, PMLA, FATCA/CRS
requirements, regulatory reporting, fund governance, investor onboarding, and compliance
Specific Responsibilities
- Fund Compliance & Operations
- Ensure compliance with SEBI (AIF) Regulations and applicable circulars.
- Monitor compliance with the PPM, contribution agreements, and investor commitments.
- Review investment transactions for adherence to investment strategy, concentration limits,
- leverage limits, and other regulatory restrictions.
- Coordinate with fund administrators, custodians, brokers, and service providers.
- Review valuation reports and regulatory requirements.
- Investor Compliance & Reporting
- Oversee KYC, AML, FATCA, CRS, and beneficial ownership verification.
- Ensure compliance with PMLA requirements and investor eligibility norms.
- Review investor communications and periodic reporting.
- Regulatory Filings & Reporting
- Manage AIF-related filings through the SEBI Intermediary Portal.
- Coordinate FLAIR reporting, FATCA/CRS reporting, and other regulatory submissions.
- Track and implement new SEBI circulars and regulatory updates.
- PPM & Governance Compliance
- Monitor adherence to PPM benchmarks and disclosure requirements.
- Coordinate annual PPM audits and certification requirements.
- Maintain compliance registers and management reports.
- Risk Management & Internal Controls
- Conduct compliance testing and risk assessments.
- Monitor compliance breaches and recommend corrective actions.
- Support cybersecurity, digital accessibility, data protection, and business continuity initiatives.
Qualifications
Company Secretary (CS), Chartered Accountant (CA), Law Graduate (LLB), MBA Finance, or
equivalent professional qualification.
Experience
2-5 years of experience in Compliance, Fund Operations, Legal, Risk Management, or Regulatory
functions. Experience with AIFs, PMS, Mutual Funds, Asset Management Companies, Wealth
Management Firms, or Financial Institutions preferred.
Key Skills
Knowledge of SEBI AIF Regulations, PPM compliance, FLAIR reporting, FATCA/CRS, AML/KYC,
investor onboarding, regulatory reporting, stakeholder management, and documentation
Interested candidates may send updated resume copy on smbhr.shirin@gmail.com or call on 8369906992 for more queries on above.
bye,
Shirin.
8369906992
