Job Description - Compliance Officer

CTC Budget: INR 15-18 LPA

About the Organization

A new-age financial services advisory firm that blends old-world ethos with modern, relationship-centered client service. The firm has deep expertise in structured financial solutions, equity and debt capital management, private credit, venture capital, and real assets. Its philosophy emphasizes long-term, resilient issuer relationships and innovative financial products designed to perform across market cycles.

The leadership team brings over 50 years of collective experience and has successfully delivered growth for mid-market clients, HNIs, and family offices. The firm is in the process of launching private credit funds under the Alternative Investment Fund (Category II) segment, subject to SEBI approval.

Position Overview

The Company Secretary and Compliance Officer will be responsible for end-to-end compliance management for all AIF regulatory and statutory obligations, ensuring adherence to SEBI guidelines and other applicable laws, as well as secretarial work for the LLP and the fund. The role will support fund administration, reporting, investor documentation, and proactive risk management for managed AIFs.

Key Responsibilities

- Oversee and ensure complete compliance with SEBI (Alternative Investment Fund) Regulations, 2012, related circulars, and applicable laws for the fund.

- Prepare, review, and submit all regulatory filings, quarterly/ad-hoc reports, and disclosures to SEBI and other authorities in a timely and accurate manner.

- Draft, implement, and update internal compliance policies, procedures, and manuals for the fund and monitor adherence.

- Conduct regular internal audits and compliance checks to ensure robust governance and risk controls.

- Support fund structuring, investor documentation, PPMs, Contribution Agreements, Side Letters, and vetting agreements in coordination with legal counsel.

- Maintain meticulous compliance records, investor KYC, fund operations documentation, and ensure audit-readiness at all times.

- Serve as the primary contact for compliance queries, regulatory inspections, and coordination with SEBI and other regulatory bodies.

- Monitor regulatory updates, circulars, and guidelines; advise management and teams on implications for fund operations and policies.

- Carry out periodic reviews and risk analysis of fund investments; proactively identify, assess, and mitigate compliance risks.

- Ensure compliance across fund accounting, taxation, and reporting, including distribution of income and investor updates.

- Work closely with fund managers, investment teams, and legal teams to address compliance-related matters.

- Safeguard against conflicts of interest, money laundering/AML risks, and maintain high standards of ethical conduct.

Required Skills and Competencies:

Professional qualification:

- CS or equivalent with proven knowledge of SEBI/AIF regulatory frameworks.

- 5+ years of relevant experience in compliance or legal roles within asset management, investment banking, or financial services; prior AIF compliance exposure is a strong advantage.

- Must hold the NISM Series XIX-C: Alternative Investment Fund Managers Certification (mandatory under latest SEBI norms).

- Strong legal drafting, vetting, and negotiation skills; ability to interpret regulations and manage documentation.

- Analytical thinking, problem-solving skills, and meticulous attention to detail.

- Excellent communication, stakeholder engagement, and report-writing abilities.

- Ability to manage multiple tasks effectively under tight deadlines with strong organizational skills.

What We Offer

- Direct exposure to senior leadership and the strategic direction of a dynamic and growing financial services platform.

- Entrepreneurial, impact-driven culture focused on long-term growth and value creation.

- Competitive remuneration within a budget of INR 15-18 LPA, along with performance-linked incentives and career development opportunities.