Compliance Officer

**Hiring: Compliance Officer – Alternative Investment Fund (AIF)** **Location:** Lower Parel, Mumbai **Experience:** 5–8 Years **Industry:** Alternative Investment Funds / Investment Management **Reporting To:** Managing Partner We are looking for an experienced **Compliance Officer** to manage and strengthen the compliance framework for a **Category I Special Situation Fund (SSF)** and its Investment Manager. The role will involve working closely with the **Investment, Legal, Finance, Operations, Trustee and external advisory teams** to ensure end\-to\-end regulatory compliance. Key Responsibilities • Manage compliance with **SEBI AIF Regulations, circulars, guidelines and regulatory requirements** • Develop and maintain the annual **Compliance Calendar and Compliance Plan** • Monitor **PPM compliance** , investment restrictions, limits and fund documentation • Review proposed investments and transactions from a **regulatory and PPM compliance perspective** • Prepare and manage periodic **Compliance Test Reports (CTR)** • Identify compliance gaps, risks and exceptions and drive remediation • Ensure timely **SEBI regulatory filings, disclosures and reporting** • Maintain regulatory trackers, compliance risk registers and audit closure trackers • Coordinate **SEBI inspections, internal/external audits and regulatory queries** • Prepare compliance reports for the **Board and Trustee** • Monitor investor **KYC, AML and due\-diligence requirements** • Support compliance reviews involving **stressed assets, distressed debt, Security Receipts and insolvency\-related transactions** • Track regulatory changes and ensure timely implementation across the fund Qualification CA / CS / MBA or equivalent professional qualification with relevant experience in **AIF compliance, fund management, investment management or securities markets** . **NISM certification applicable to AIF Compliance Officers is required.** Ideal Candidate Profile * **5–8 years** of relevant experience in **AIF Compliance / Investment Management** * **Mandatory hands\-on AIF regulatory compliance** experience * Strong knowledge of **SEBI AIF Regulations, PPM, CTR, SEBI filings \& compliance monitoring** * **NISM certification/exam for AIF Compliance Officers – mandatory \& cleared** * **Category I AIF / Special Situation Fund (SSF)** experience preferred * Exposure to **stressed/distressed assets, private credit/debt \& IBC/CIRP** is an advantage * **CA / CS / MBA** or equivalent qualification preferred **MUST\-HAVE SKILLS** AIF Compliance SEBI AIF Regulations AIF Special Situation Fund PPM Compliance Compliance Test Reports SEBI Regulatory Filings Investor Compliance Trustee Coordination SEBI Inspections Stressed Assets Distressed Debt Private Markets Debt Investments Insolvency Transactions NISM Certification