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Compliance Manager

1.00 to 10.00 Years   Mumbai City   28 Jul, 2026
SMB HR Solutions
Job LocationMumbai City
EducationNot Mentioned
SalaryNot Disclosed
IndustryBFSI
Functional AreaCompany Secretary
EmploymentTypeFull-time

Job Description

    We are looking forward for a suitable candidate for the position of Company Secretary and Compliance Manager role.Position :-Compliance OfficerReporting To :-CEO / Designated PartnersDepartment :-Compliance & RiskRole SummaryResponsible for ensuring compliance with SEBI AIF Regulations, PMLA, FATCA/CRSrequirements, regulatory reporting, fund governance, investor onboarding, and complianceSpecific 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.
    QualificationsCompany Secretary (CS), Chartered Accountant (CA), Law Graduate (LLB), MBA Finance, orequivalent professional qualification.Experience2-5 years of experience in Compliance, Fund Operations, Legal, Risk Management, or Regulatoryfunctions. Experience with AIFs, PMS, Mutual Funds, Asset Management Companies, WealthManagement Firms, or Financial Institutions preferred.Key SkillsKnowledge of SEBI AIF Regulations, PPM compliance, FLAIR reporting, FATCA/CRS, AML/KYC,investor onboarding, regulatory reporting, stakeholder management, and documentationInterested candidates may send updated resume copy on hidden_email or call on hidden_mobile for more queries on above.bye,Shirin.hidden_mobile

Keyskills :
regulatory reportingcompanysebi regulationscompliancecompany secretarialsecretary

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