Compliance Officer

3 weeks ago

Mumbai, India SKS Enterpprises - Human Resource Planning and Management Full time

Position Name - Compliance Officer Location - Mumbai Experience Range - 5 to 8 years Job Roles and Responsibilities: - The role involves end-to-end responsibility for fund administration, investor servicing, compliance, and coordination with key stakeholders for Indias leading early-stage Angel fund(s). - The position requires strong regulatory understanding, financial acumen, and client-facing capability to support fund operations and governance. - Coordinate with Custodian, RTA, Fund Accountant, and banks for fund-related operations. - Manage account opening (bank/demat) with custodians and ensure timely fund movement. - Handle documentation for AIF/PMS investor onboarding and fund operations. - Prepare and manage corporate actions, dematerialization of units, and investor records. - Portfolio valuation, NAV computation, and cashflow preparation. - Manage month-end Management Fee booking and ensure accurate accounting treatment. - Prepare and circulate MIS reports to Founders/Management on fund performance and cash positions. - Prepare and review compliance and regulatory reports to SEBI, Trustees, and Investors. - Ensure adherence to SEBI AIF Regulations, RBI Regulations, PMLA, and other applicable laws. - Draft and update policies, procedures, and internal control SOPs in line with regulatory changes. - Prepare compliance test reports, quarterly filings, and ensure timely submissions. - Maintain documentation for Board and Committee meetings, minutes, and governance records. - Interface with auditors, legal counsel, and regulators on compliance/audit matters. - Monitor investment limits and ensure periodic review of portfolio-level compliance. Qualification and Experience: - Chartered Accountant (CA) / Company Secretary (CS) / MBA Finance with 5–8 years of experience in AIF/PMS fund administration and compliance. - NISM XIX C or XIX D certification. - Strong understanding of SEBI AIF Regulations, fund accounting, and investor reporting. - Proficiency in MS Excel and financial analysis; excellent drafting and communication skills. - Strong coordination, stakeholder management, and time management abilities.

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