Compliance Officer

Genetic Callnet Consultancy Pvt Ltd.; Mumbai; On-site; INR 900,000 - 1,350,000; Full time

Job summary

Genetic Callnet Consultancy Pvt Ltd is seeking a Compliance Officer for a Category I Special Situation Fund (SSF) to strengthen the compliance framework and oversee SEBI AIF regulations, filings and related governance. The role involves partnering with Investment, Legal, Finance, Operations, Trustee and external advisory teams.

The ideal candidate has 5–8 years in AIF compliance or investment management, with hands-on SEBI AIF regulatory experience and NISM certification.

Qualifications

• CA / CS / MBA or equivalent professional qualification with relevant experience in AIF compliance, fund management or investment management.
• NISM certification applicable to AIF Compliance Officers is required.

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.
• Coordinate SEBI inspections, internal/external audits and regulatory queries.

Skills

Regulatory compliance

AIF knowledge

Stakeholder coordination

Education

CA/CS/MBA or equivalent

NISM certification for AIF compliance

Job description

Hiring: Compliance Officer – Alternative Investment Fund (AIF)

Experience: 5–8 Years

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