Compliance Officer

Job Description

Role: Principal Officer / Compliance Officer This is a dual-role opportunity in a growing VC fund, ideal for candidates with strong regulatory and operational experience in AIFs or related financial sectors. Key Responsibilities As Principal Officer (SEBI-Registered AIF): Serve as the key point of contact with SEBI and FIU-IND. Ensure full compliance with SEBI AIF Regulations, PMLA, and other regulatory requirements. Oversee KYC/AML protocols, investor documentation, and fund governance. Supervise fund disclosures, investor reporting, and SEBI filings. Lead compliance strategy and supervise junior compliance personnel. As Compliance Officer: Implement and monitor internal compliance processes and policies. Prepare and submit all required SEBI/AIF filings and regulatory documents. Track regulatory updates and manage internal audits. Support grievance redressal and regulatory inspections. Ensure thorough documentation of fund activities and compliance logs. Report suspicious transactions to authorities as per PMLA. Note: In smaller AIFs, SEBI permits a combined role of Principal and Compliance Officer. Qualifications & Skills Education: MBA (Finance) or equivalent. Certifications like CA, CS, LLB, or CFA are a plus. Experience: 5–10 years in fund management, investment advisory, compliance, or financial services. Industry Preference: Prior exposure to Venture Capital, Private Equity, Mutual Funds, or AIFs. Strong grasp of SEBI AIF Regulations, PMLA, FIU-IND reporting norms. Proficient in KYC/AML, investor reporting, and fund structuring. Excellent leadership, decision-making, and stakeholder management skills. Strong communication skills to interface with regulators, investors, and internal teams. You can share your CV at harshabhurani@hummingbirdconsulting.work Show more Show less