Compliance Associate

Artha Group; Mumbai; On-site; INR 800,000 - 1,200,000; Full time

Job summary

A leading investment firm based in Mumbai seeks an experienced Associate - Compliance. This role is crucial to ensure adherence to SEBI regulations for their Alternative Investment Fund (AIF). The ideal candidate must hold a Company Secretary (CS) certification and possess 3-5 years of compliance management experience in the investment sector. Responsibilities include maintaining compliance calendars, preparing regulatory filings, and collaborating with internal teams to mitigate compliance risks.

Qualifications

• 3-5 years of experience in compliance management.
• Experience in managing compliance for a venture capital fund.
• Strong understanding of compliance frameworks for investment management.

Responsibilities

• Ensure compliance with SEBI regulations for the AIF.
• Maintain a detailed compliance calendar for filings.
• Collaborate with internal teams for regulatory alignment.
• Provide updates on compliance activities to management.

Skills

Compliance management

Understanding of SEBI regulations

Organizational skills

Communication skills

Proficiency in compliance software

Education

Company Secretary (CS) certification

Job description

Artha Group is a distinguished player in the global investment landscape, managing over ₹1,500 crores in assets under management (AUM). Our diverse portfolio spans 130+ startups, with 32+ successful exits, and 10+ renewable energy projects. As both a General Partner (GP) and a Limited Partner (LP) in various micro-VC funds, we operate a unique self-sustaining investment model that reinvests returns from high-yielding renewable energy assets into high-potential startups. With a focus on sectors such as B2B SaaS, FinTech, and space tech, we are actively expanding our global footprint, leveraging offshore structures to explore new opportunities worldwide.

Role Overview

Artha Group is seeking a highly detail-oriented and experienced Associate - Compliance to ensure compliance with all regulatory frameworks pertaining to our SEBI-registered Alternative Investment Fund (AIF). The ideal candidate will be responsible for managing and overseeing compliance procedures related to both investments made and investments taken by the fund. The role requires a strong understanding of compliance requirements specific to venture capital funds, including SEBI regulations, fund documentation, and financial disclosures.

This individual will maintain a detailed compliance calendar, ensuring the timely submission of all necessary filings and reports, and collaborate with internal teams to ensure alignment with legal and regulatory requirements. A Company Secretary (CS) certification is mandatory for this role.

Key Responsibilities

1. Compliance Management for Venture Capital Fund

• Ensure full compliance with SEBI (Securities and Exchange Board of India) regulations governing the operations of an AIF (Alternative Investment Fund), including investment compliance.
• Maintain and update compliance procedures for all investment activities—both incoming (capital raised) and outgoing (investments made).
• Review, manage, and maintain statutory documentation related to the fund, ensuring all records are accurate and up to date.

2. Compliance Calendar and Regulatory Filings

• Develop and manage a comprehensive compliance calendar that tracks all regulatory filing deadlines (annual, quarterly, monthly, and weekly).
• Prepare and submit all mandatory reports, including those related to fund performance, investor communication, financial reporting, and compliance disclosures.
• Ensure timely filing of statutory forms, SEBI filings, and other regulatory submissions as required by law.

3. Internal Coordination and Audit Support

• Collaborate with internal teams, including legal, finance, and operations, to ensure all processes align with regulatory requirements.
• Assist in preparing for internal and external audits by providing all necessary documentation and supporting materials.
• Conduct periodic internal reviews to ensure all compliance policies are properly implemented and followed by all teams.

4. Compliance Reporting and Documentation

• Provide regular updates to senior management on compliance activities and report any potential compliance risks or issues.
• Maintain comprehensive records of all compliance activities, including regulatory filings, approvals, and other essential documents.
• Ensure that all compliance policies are documented, communicated, and adhered to within the organization.
• Identify potential regulatory or compliance risks associated with investments, transactions, and fund operations, and suggest appropriate mitigating actions.
• Proactively monitor changes in SEBI and other regulatory frameworks that may impact the venture capital fund, and ensure timely adaptation to new regulations.

Requirements

• Must be a Company Secretary (CS) with experience in managing compliance for a venture capital fund or financial institution.
• 3-5 years of experience in compliance management, preferably within the venture capital, private equity, or investment management sectors.
• Strong understanding of SEBI regulations and compliance frameworks applicable to AIFs (Alternative Investment Funds).
• Demonstrated ability to manage and maintain a compliance calendar, ensuring the timely filing of all regulatory reports and disclosures.
• Excellent organizational and communication skills, with the ability to collaborate effectively across teams.
• Proficiency in compliance software and familiarity with the legal aspects of fund management.