Compliance Manager

SMB HR Solutions; Mumbai; On-site; INR 900,000 - 1,500,000; Full time

Benefits offered by this job

Job summary

SMB HR Solutions seeks a Company Secretary and Compliance Manager to lead regulatory compliance for AIFs, PMS, and related funds. The role covers investor onboarding, governance, and accurate regulatory filings.

You will work with the CEO/Designated Partners in the Compliance & Risk department to implement risk controls, oversee KYC/AML, FATCA/CRS, and ensure adherence to SEBI guidelines.

Qualifications

• CS/CA/LLB/MBA Finance or equivalent professional qualification.
• 2-5 years of experience in Compliance, Fund Operations, Legal, Risk Management, or Regulatory functions.
• Experience with AIFs, PMS, Mutual Funds, Asset Management Companies, Wealth Management Firms, or Financial Institutions preferred.

Responsibilities

• Fund Compliance & Operations under SEBI AIF Regulations.
• Oversee KYC, AML, FATCA, CRS and beneficial ownership verification.
• Manage SEBI filings via SEBI Intermediary Portal; coordinate FLAIR/FATCA/CRS reporting.
• Coordinate annual PPM audits and governance disclosures.
• Monitor compliance breaches and recommend corrective actions; support cybersecurity and business continuity initiatives.

Education

Company Secretary (CS)

Chartered Accountant (CA)

Law Graduate (LLB)

MBA Finance

Job description

We are looking forward for a suitable candidate for the position of Company Secretary and Compliance Manager role.

Position

Compliance Officer

Reporting To

CEO / Designated Partners

Department

Compliance & Risk

Role Summary

• Responsible for ensuring compliance with SEBI AIF Regulations, PMLA, FATCA/CRS
• requirements, regulatory reporting, fund governance, investor onboarding, and compliance

Specific Responsibilities

• Fund Compliance & Operations
• Ensure compliance with SEBI (AIF) Regulations and applicable circulars.
• Monitor compliance with the PPM, contribution agreements, and investor commitments.
• Review investment transactions for adherence to investment strategy, concentration limits,
• leverage limits, and other regulatory restrictions.
• Coordinate with fund administrators, custodians, brokers, and service providers.
• Review valuation reports and regulatory requirements.
• Investor Compliance & Reporting
• Oversee KYC, AML, FATCA, CRS, and beneficial ownership verification.
• Ensure compliance with PMLA requirements and investor eligibility norms.
• Review investor communications and periodic reporting.
• Regulatory Filings & Reporting
• Manage AIF-related filings through the SEBI Intermediary Portal.
• Coordinate FLAIR reporting, FATCA/CRS reporting, and other regulatory submissions.
• Track and implement new SEBI circulars and regulatory updates.
• PPM & Governance Compliance
• Monitor adherence to PPM benchmarks and disclosure requirements.
• Coordinate annual PPM audits and certification requirements.
• Maintain compliance registers and management reports.
• Risk Management & Internal Controls
• Conduct compliance testing and risk assessments.
• Monitor compliance breaches and recommend corrective actions.
• Support cybersecurity, digital accessibility, data protection, and business continuity initiatives.

Qualifications

Company Secretary (CS), Chartered Accountant (CA), Law Graduate (LLB), MBA Finance, or equivalent professional qualification.

Experience

2-5 years of experience in Compliance, Fund Operations, Legal, Risk Management, or Regulatory functions. Experience with AIFs, PMS, Mutual Funds, Asset Management Companies, Wealth Management Firms, or Financial Institutions preferred.

Key Skills

Knowledge of SEBI AIF Regulations, PPM compliance, FLAIR reporting, FATCA/CRS, AML/KYC, investor onboarding, regulatory reporting, stakeholder management, and documentation