Senior Compliance Specialist

18 hours ago

Delhi, Delhi, India beBeeCompliance Full time ₹ 15,00,000 - ₹ 25,00,000
Compliance Officer Job Description

Job Summary:

We are seeking a highly skilled Compliance Officer to join our team. The successful candidate will be responsible for ensuring that all transactions and activities comply with regulatory requirements.

Key Responsibilities:

  • Review exposure, drawdowns, and investor commitments against fund documents and regulatory limits.
  • Conduct pre- and post-trade compliance checks (investment concentration limits, sector restrictions, leverage, etc.).
  • Ensure transactions are within regulatory and fund-specific boundaries.
  • Assist in drafting and updating internal compliance checklists, SOPs, and dashboards.
  • Assist in preparation and filing of regulatory reports including SEBI AIF reports (monthly/quarterly), RBI/FEMA filings if applicable.
  • Monitor compliance with SEBI AIF Regulations, PPM (Private Placement Memorandum), and internal investment guidelines.
  • Validate accruals, expenses, performance fees and management fee computations as per PPM and agreements.
  • Support audits and inspections (SEBI, statutory, internal) by providing required data and explanations.
  • Coordinate daily/periodic NAV computation with fund administrator; review trial balance, valuations, and reconciliation reports.
  • Ensure timely and accurate recording of fund transactions.
  • Support investor queries related to capital statements, tax workings, and portfolio performance.

Requirements:

To succeed in this role, you will need:

  • A minimum of 3 to 5 years of relevant experience in AIF/PMS/Mutual Funds or compliance.
  • Working knowledge of SEBI AIF Regulations, Companies Act, and taxation aspects relevant to AIFs.
  • Ability to comprehend financial reports.
  • Excellent working knowledge of Excel.
  • Attention to detail is a MUST.
  • Strong written and verbal communication skills will be an added advantage in this role.

The ideal candidate should have a CA / MBA (Finance) or equivalent professional qualification.

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