- We are looking for a Principal Compliance & Operations to independently own compliance and fund operations for a Mumbai-based investment management firm managing a SEBI-registered Category III AIF.

- This is a hands-on role with approximately 70% Compliance and 30% Operations, offering complete ownership of the function and direct interaction with the Founder, trustees, custodians, fund accountants, RTA, auditors and tax advisors.

Key Responsibilities

- Compliance Own and track the regulatory obligation register through completion.

- Manage SEBI quarterly reporting, intermediary portals, trustee reporting and PPM audit coordination.

- Handle FIU-IND, FINnet, AML/CFT monitoring and STR filing.

- Manage LEI, CKYC, CERSAI and nodal officer administration.

- Handle SCORES, SMART ODR, KRAs, RBI InVi/FLA, GIIN and ITDREIN.

- Manage stewardship/proxy voting and personal trading policies.

- Maintain authorised signatory, access and credential registers.

- Oversee outsourcing governance, vendor SLAs, liability and business continuity.

- Maintain inspection readiness.





- Fund Operations Manage daily trade allocation and custodian authorisation within prescribed cut-offs.

- Perform cash cover and peak margin checks.

- Act as checker for fund transfers and ensure proper approval controls.

- Manage contributor onboarding and KYC processes.

- Handle RTA activities including allotments, statements, MIS, demat and Benpos reconciliation.

- Coordinate month-end NAV processes with fund accountants and tax advisors.

- Manage statutory payments, corporate actions, buyback tenders and benchmarking submissions.

- Maintain vendor payables and operational records.

- Process Building Create transparent, documented SOPs and procedures for compliance and operational activities.

- Build the compliance and operating model for Fund II while managing Fund I.

- Independently manage relationships with custodians, fund accountants, RTA, trustees, auditors and tax advisors.

📌 Principal - Compliance & Operations (Mumbai)
🏢 Caliber Organisation
📍 Mumbai