Assistant Manager Fund Compliance & Operations

Reports To: Compliance Officer _Department

Designation : AM- Fund Operations & Compliance

Role Overview This role supports the Compliance Officer in managing fund compliance, investor servicing, and operational coordination for the firms AIF/PMS fund structures.

- The Assistant Manager will work closely with custodians, RTAs, fund accountants, auditors, and internal stakeholders to ensure regulatory adherence, timely reporting, and seamless fund operations.

- The role requires strong attention to detail, working knowledge of SEBI AIF regulations, and the ability to manage multiple tasks with accuracy.

Key Responsibilities Fund Operations & Administration

• Coordinate with Custodian, RTA, Fund Accountant, and banks for routine fund operations.

• Support account opening (bank/demat) and track fund movements.

• Assist with AIF/PMS investor onboarding documentation and KYC/AML checks.

• Maintain investor records, unit registers, and documentation related to corporate actions.

• Prepare initial workings for portfolio valuation, NAV support files, and cashflow updates.

• Assist in month-end fee-related workings and maintaining accounting documentation.

• Support preparation and circulation of MIS and operational reports. Compliance & Regulatory Support

• Assist the Compliance Officer in preparing SEBI, Trustee, and internal compliance reports.

• Maintain compliance trackers, registers, and audit files.

• Support drafting and updating internal SOPs, policies, and process notes.

• Help prepare compliance test reports, quarterly filings, and regulatory submissions.

• Maintain governance documentation including Board/Committee files and minutes.

• Liaise with auditors, legal counsel, and internal teams for compliance-related data.

• Monitor portfolio-level compliance parameters under guidance of the

Compliance Officer.

Qualifications & Skills

• CA / CS / MBA Finance / B.Com with 13 years of experience in AIF/PMS operations or compliance.

• NISM XIX-C / XIX-D certification (or willingness to obtain).

• Basic understanding of SEBI AIF Regulations, fund operations, and investor reporting.

• Strong MS Excel skills; good communication and drafting ability.

• Strong coordination capability and willingness to learn. Personal Attributes

• Detail-oriented, organised, and proactive.

• High integrity and commitment to compliance standards.

• Ability to manage multiple deadlines.

• Team player with a problem-solving approach.