Compliance Officer

5 days ago

Mumbai, Maharashtra, 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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