Compliance Officer – Category III AIF

We are looking for an experienced Compliance Officer to lead the regulatory compliance, legal oversight and governance framework for a Category III Alternative Investment Fund (AIF) and its Investment Manager. This is a key governance role for a professional with robust knowledge of the SEBI regulatory framework, capital markets, investment compliance and institutional fund operations, with the ability to independently drive a robust compliance function.

Key Responsibilities

Lead regulatory compliance for the Category III AIF and Investment Manager.
Monitor compliance with SEBI AIF Regulations, PIT Regulations, PFUTP Regulations and applicable securities laws.
Oversee pre-trade and post-trade compliance, including investment limits, concentration, counterparty exposure, derivatives and leverage controls.
Ensure timely SEBI filings, regulatory returns, Trustee reporting and statutory submissions.
Ensure compliance with the PPM, Contribution Agreements, Investment Management Agreement and other fund documents.
Oversee KYC, AML, CFT,



FATCA/CRS and UBO compliance.
Manage conflicts of interest, personal trading, insider trading, market conduct and information-barrier requirements.
Coordinate SEBI inspections, regulatory audits, Trustee audits, statutory audits and internal compliance reviews.
Review and coordinate legal, commercial and fund-related documentation with external counsel and advisors.
Support Board, Investment Committee and other governance meetings from a compliance perspective.
Maintain compliance calendars, registers, regulatory correspondence, audit trails and remediation trackers.
Provide independent compliance guidance and appropriately challenge investment or business decisions where required.
Prepare compliance dashboards, certificates and reporting packs for senior management, the Board and Trustees.

What We’re Looking For

Qualified Company Secretary (CS), LLB/LLM, CA, MBA Finance or equivalent qualificatio

📌 Compliance Officer – Category III AIF (Mumbai)
🏢 hn safal
📍 Mumbai