Title: Private Equity Compliance Associate / Manager

Experience: 9 - 14 years

Work Location: Bangalore

Notice Period: Immediate to 30 Days Max only

Job Summary:

We are seeking a highly capable Compliance Associate / Manager to support and help drive the compliance program for a private equity investment platform. The role requires hands-on experience in private fund compliance, strong knowledge of regulatory filing requirements, and the ability to manage the annual compliance cycle across policies, training, attestations, reporting, and regulatory obligations.

The successful candidate will demonstrate ownership of a mature compliance program and be comfortable working across investment, operations, finance, legal, and investor relations teams. This is a hands-on role suited to someone who can manage recurring compliance obligations while also identifying opportunities to enhance processes, controls, documentation, and governance.

Key Responsibilities:

Compliance Program Ownership:

- Manage and support the ongoing execution of the firm's compliance program, ensuring policies, procedures, controls, and monitoring activities remain effective and aligned with regulatory expectations.

- Drive the annual compliance review process end-to-end, including planning, testing, documentation, identification of findings, remediation tracking, and implementation of program enhancements.

- Maintain strong documentation of compliance reviews, control assessments, issue logs, and remediation plans.

- Partner with internal stakeholders to ensure compliance requirements are embedded into day-to-day business processes across investment, operations, finance, legal, and investor-facing teams.

- Identify process improvements and recommend enhancements to strengthen the firm's compliance framework.

Regulatory Filings and Compliance Calendar:

- Manage the firm's compliance calendar and ensure timely completion of regulatory filings, certifications, reporting obligations, and internal deadlines.

- Support and coordinate filings and regulatory obligations, including Form ADV, Form PF, and other private fund-related regulatory submissions as applicable.

- Monitor compliance requirements across relevant jurisdictions, preferably including Asia-Pacific markets such as Singapore, Japan, China, and other regional jurisdictions.

- Coordinate board, management, investor, and regulatory reporting requirements, ensuring accuracy, timeliness, and appropriate supporting documentation.

- Track changes in applicable regulatory requirements and assess their impact on the firm's compliance program.

Annual Compliance Cycle:

- Oversee the annual compliance program cycle, including employee training, certifications, attestations, policy refreshes, annual compliance meetings, and related communications.

- Coordinate annual and periodic employee compliance certifications, including personal account dealing, outside business activities, gifts and entertainment, conflicts of interest, political contributions, and confidentiality requirements.

- Support the review and refresh of compliance policies and procedures to reflect regulatory developments, business changes, and identified program enhancements.

- Develop and deliver compliance training materials, ensuring consistent execution and understanding across relevant teams.

Private Fund Compliance:

- Support compliance matters relating to private equity funds, including fund governance, investor reporting, conflicts management, allocation practices, valuation-related controls, marketing review, and regulatory disclosures.

- Assist with compliance oversight of fund documentation, side letter obligations, investor communications, and reporting requirements.

- Work closely with legal, finance, investor relations, and fund operations teams to ensure fund-level compliance obligations are properly tracked and executed.

- Support regulatory examinations, audits, due diligence requests, and investor compliance inquiries, including document preparation and response coordination.

Required Qualifications:

- Bachelor's degree in Law, Finance, Business, Accounting, Economics, or a related discipline.

- Relevant compliance experience within private equity, private funds, asset management, investment management, or financial services.

- Direct experience supporting or managing a private fund compliance program.

- Strong knowledge of regulatory filings and compliance calendar management, including familiarity with Form ADV, Form PF, and private fund reporting obligations.

- Experience with annual compliance reviews, compliance testing, policy management, employee attestations, and compliance training.

- Knowledge of Asia-Pacific regulatory environments is strongly preferred, particularly exposure to Singapore, Japan, China, Hong Kong, or other regional markets.