Compliance Officer

Job Title:

Location:

Experience:

Department:

Job Overview:

We are looking for a qualified and experienced Compliance Officer to oversee and ensure adherence to applicable regulations and internal policies for our Category III Alternative Investment Fund. The role will involve managing compliance responsibilities for both SEBI and IFSC regulations, with one role based in Mumbai and another in GIFT City, Gandhinagar.

Key Responsibilities:

• Ensure compliance with

  SEBI (AIF Regulations), IFSCA guidelines

  , and other applicable regulations (FEMA, Companies Act, PMLA, etc.).
• Oversee day-to-day compliance operations for

  AIF

  , including trade compliance, investor onboarding, KYC/AML, and regulatory filings.
• Maintain and update internal compliance policies, SOPs, and manuals.
• File periodic reports such as PPM updates, annual reports, risk-based supervision (RBS) returns, and compliance certificates with SEBI/IFSCA.
• Liaise with regulators such as

  SEBI, IFSCA, RBI

  , and statutory auditors for inspections, queries, and audits.
• Conduct compliance risk assessments and internal audits of business functions.
• Ensure prompt identification and mitigation of compliance breaches or potential non-compliance.
• Handle investor grievances and regulatory correspondence.
• Provide support during product launches, fund documentation (PPM, IMA, Trust Deed), and amendments from a compliance standpoint.
• Monitor investment and trading restrictions applicable under AIF guidelines.
• Collaborate with fund managers, legal teams, custodians, and administrators for end-to-end compliance processes.

Key Requirements:

• Education:

  LLB / CS / CA / MBA (Finance/Law) preferred.

• Experience:

  6–10 years of relevant experience in compliance, preferably in a PMS/AIF/AMC setup.
• Sound knowledge of

  SEBI AIF Regulations

  ,

  IFSC regulations

  ,

  FEMA

  , and

  PMLA

  .
• Familiarity with fund structures, SPVs, offshore entities, and cross-border compliance.
• Strong interpersonal, analytical, and communication skills.
• Ability to handle multiple stakeholders and regulatory interactions.
• Prior exposure to

  GIFT City / IFSCA framework

  is desirable for the GIFT City-based role.