Compliance Executive

2 - 31 years

4 - 6 Lacs

andheri east mumbai/bombay

Posted:22 hours ago| Platform: Apna logo

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Work Mode

On-site

Job Type

Full Time

Job Description

We are seeking a detail-oriented and motivated Compliance Executive to join our Category II AIF team. The role will be focused on supporting fund operations through investor onboarding, regulatory compliance, and trustee-related coordination. The candidate will work closely with the compliance oKicer, investment team, and external stakeholders to ensure smooth execution of all statutory and regulatory obligations under SEBI AIF Regulations. Key Responsibilities : Investor Onboarding & KYC Manage end-to-end investor onboarding, including KYC checks, FATCA/CRS compliance, and documentation review. Coordinate with investors, fund administrators, and banks for account opening, subscription agreements, and related formalities. Maintain accurate investor records and ensure timely reporting. Fund & SEBI Compliance Assist in preparation and filing of SEBI-mandated reports, periodic returns, and disclosures. Track compliance requirements under SEBI AIF Regulations, Companies Act, and other applicable laws. Support in maintaining statutory registers, records, and ensuring timely submission of regulatory filings. Monitor compliance calendar and assist in preparing compliance certificates. Trustee & Governance Compliance Coordinate with the trustee on periodic reporting, resolutions, and information requirements. Prepare agenda notes, minutes, and compliance updates for trustee meetings. Ensure trustee-related obligations under the trust deed and regulatory framework are met.Internal Processes & Support Maintain and update compliance policies, SOPs, and registers. Liaise with auditors, fund administrators, custodians, and legal counsel for compliance-related matters. Support senior management and compliance oKicer in responding to regulatory queries or audits. Desired Candidate Profile 2–3 years of experience in compliance/operations within an AIF, PE/VC fund, fund administrator, trustee company, or related financial services firm. Knowledge of SEBI AIF Regulations and related compliance frameworks. Strong attention to detail, organizational skills, and ability to manage timelines. Good communication skills for engaging with investors, trustees, and regulators.

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