Role Definition

Compliance Officer af a Category – II Alternative Investment Fund

Responsibility

Deliverable Compliance Officer and Operations Manager

Tasks & Activities Key Responsibilities

- Act as the Fund’s Compliance Officer and maintain the master compliance calendar.
- Monitor applicable SEBI AIF Regulations, circulars, guidelines and regulatory updates.
- Coordinate with Compliance team for regulatory interpretations, filings and compliance activities.
- Track, review and ensure timely completion of all regulatory compliances.
- Identify regulatory changes and assess their impact on the Fund.
- Coordinate with Trustee, Custodian, RTA, Fund Accountant, Auditor, Legal Counsel and other service providers.
- Oversee investor onboarding, KYC/AML, FATCA/CRS, documentation, capital calls, unit issuance and investor reporting processes.
- Oversee fund accounting, expenses, tax and audit processes handled by external professionals.
- Maintain compliance, operational, document and regulatory trackers.
- Conduct regular server vs physical-file document reconciliation and ensure the Fund remains audit-ready.
- Prepare weekly Compliance & Operations MIS for management.
- Develop SOPs, checklists and internal processes for the AIF.
- Monitor outstanding actions and ensure timely closure.
- Escalate potential compliance issues, delays, breaches or regulatory risks to management.
- Support other AIF-related operational,



research and investor activities as required.

Education

B.Com / BBA / BMS or equivalent

MBA/PGDM, CA Inter, CS, LLB, CFA or relevant financial-market qualifications will be an advantage.

Experience Candidates with experience in:

- AIFs
- Mutual Funds
- PMS
- Wealth Management
- SEBI-regulated entities will be preferred

Certification NISM III-C Mandatory

Stipend/ CTC Range

₹50,000 per month, depending on experience and suitability.

Skills –

We are looking for someone who is:

- Highly organised and detail-oriented
- Strong in follow-ups and coordination
- Comfortable working with multiple stakeholders simultaneously
- Interested in SEBI regulations and financial markets
- Able to independently research regulatory requirements
- Strong in Excel and documentation
- Good at preparing MIS, trackers and reports
- Capable of managing an intern/junior team member
- Proactive, accountable and execution-oriented
- Comfortable working in a rapid-paced investment-management environment
- Advanced MS Excel
- Pivot Tables
- XLOOKUP / VLOOKUP
- SUMIFS / COUNTIFS
- Financial & logical functions
- Data validation & conditional formatting
- Basic Macros
- MIS / Dashboard preparation
- MS PowerPoint
- MS Word
- Google Workspace
- CRM / Task-management tools
- AI tools – ChatGPT, Claude, Perplexity, etc.

📌 Compliance Officer (Mumbai)
🏢 GRETEX CORPORATE SERVICES
📍 Mumbai