Compliance Officer – Alternative Investment Funds (AIF)

Company: A9 Finsight Private Limited

Department: Compliance

Location: Lower Parel,Mumbai, Maharashtra

Employment Type: Full time

Experience: 3–5 Years

Role Overview:

We are looking for an experienced Compliance Officer to manage regulatory compliance across its Alternative Investment Funds (AIFs) and respective schemes.

The role will be responsible for ensuring compliance with applicable SEBI regulations, circulars, guidelines and other regulatory requirements, while supporting strong fund governance, investor compliance and regulatory audit readiness.

The candidate will work closely with the Investment Team, Trustees, auditors, fund administrators, RTA, custodians, legal counsel and other service providers, and will serve as a key point of contact for regulatory and compliance matters.

Key Responsibilities

1. Regulatory Compliance & Reporting

- Ensure compliance with applicable SEBI AIF Regulations, circulars, guidelines and regulatory requirements.

- Manage periodic SEBI filings, regulatory reports, disclosures and compliance submissions.

- Monitor changes in SEBI regulations and circulars and assess their impact on the business.

- Coordinate with internal teams and stakeholders for timely implementation of regulatory changes.

- Manage regulatory and statutory audits/inspections and coordinate responses to observations.

- Track corrective and preventive actions and ensure timely closure of compliance observations.

- Maintain compliance calendars,



trackers and appropriate regulatory records.

2. Compliance Policies, Documentation & Training

- Develop, review and update compliance policies, SOPs, internal controls and governance frameworks.

- Review Private Placement Memorandums (PPMs) and other fund-related documentation from a regulatory compliance perspective.

- Review investor communications, website content, social media content, marketing materials and other public-facing disclosures for regulatory compliance.

- Ensure consistency of disclosures with applicable SEBI regulations and approved fund documentation.

- Conduct compliance awareness sessions and training for relevant internal teams.

- Maintain proper compliance documentation and records for audit and regulatory purposes.

3. Investor Compliance & Servicing

- Oversee investor onboarding and ongoing compliance requirements.

- Ensure compliance with KYC, CKYC, AML/CFT, FATCA and CRS requirements.

- Monitor investor documentation and regulatory checks.

- Coordinate resolution of investor complaints and SCORES-related matters.

- Liaise with the RTA, Custodian, Fund Accountant, Trustee and Auditors on investor servicing and compliance matters.

- Coordinate on matters relating to NAV, capital accounting, investor contributions, distributions and investor records.

- Ensure timely resolution of investor-related compliance issues.

4. Legal & Compliance Support to Investment Team

- Provide legal and compliance support to the Investment Team on investment

📌 Compliance Officer - Alternative Investment Funds (AIF) (Mumbai)
🏢 Finavenue
📍 Mumbai