Compliance Executive

3 weeks ago

Lucknow, India Spotlight Strategic Partners Full time

Job Title: Compliance Executive – Category II AIF

Location: Mumbai, India

Experience: 2–4 years


About the Role

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 officer, 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.


Desired Candidate Profile

  • 2–4 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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