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 solid 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 E

📌 Compliance Officer (Mumbai)
🏢 SKS Enterpprises
📍 Mumbai