Compliance Officer

Role & responsibilities

Regulatory Compliance
Ensure ongoing compliance with SEBI (AIF) Regulations, circulars, and amendments.Update internal compliance manuals, SOPs, and ensure organization-wide adherence.Prepare and file regulatory reports with SEBI, including quarterly/annual reports.Investment & Trading ComplianceMonitor concentration limits, leverage rules (Category III)Maintain audit trails of investment approvals and deviations.Investor Onboarding and AML/KYCSupport statutory audits, compliance audits, and periodic scheme audits.Conduct periodic internal compliance reviews and maintain risk management frameworks.Maintain compliance checklists, registers, and documentation.

Preferred candidate profile

2-5 years of post qualification experience in Compliance, Fund Operations, PMS/AIF/AMC compliance, or related financial services.
Strong understanding of SEBI AIF Regulations and PMLA requirements.Experience working with custodians, fund accountants, or administrators is a plus.Excellent knowledge of SEBI regulations and compliance frameworks.Strong analytical and documentation skills.High attention to detail and adherence to timelines.Effective communication skills for dealing with regulators, auditors, and investors.Ability to manage confidential information with integrity.