Principal - Compliance & Operations

• We are looking for a Principal Compliance & Operations to independently own compliance and fund operations for a Mumbai-based investment management firm managing a SEBI-registered Category III AIF.
• This is a hands-on role with approximately 70% Compliance and 30% Operations, offering complete ownership of the function and direct interaction with the Founder, trustees, custodians, fund accountants, RTA, auditors and tax advisors.

Key Responsibilities

• Compliance Own and track the regulatory obligation register through completion.
• Manage SEBI quarterly reporting, intermediary portals, trustee reporting and PPM audit coordination.
• Handle FIU-IND, FINnet, AML/CFT monitoring and STR filing.
• Manage LEI, CKYC, CERSAI and nodal officer administration.
• Handle SCORES, SMART ODR, KRAs, RBI InVi/FLA, GIIN and ITDREIN.
• Manage stewardship/proxy voting and personal trading policies.
• Maintain authorised signatory, access and credential registers.
• Oversee outsourcing governance, vendor SLAs, liability and business continuity.
• Maintain inspection readiness.
• Fund Operations Manage daily trade allocation and custodian authorisation within prescribed cut-offs.
• Perform cash cover and peak margin checks.
• Act as checker for fund transfers and ensure proper approval controls.
• Manage contributor onboarding and KYC processes.
• Handle RTA activities including allotments, statements, MIS, demat and Benpos reconciliation.
• Coordinate month-end NAV processes with fund accountants and tax advisors.
• Manage statutory payments, corporate actions, buyback tenders and benchmarking submissions.
• Maintain vendor payables and operational records.
• Process Building Create clear, documented SOPs and procedures for compliance and operational activities.
• Build the compliance and operating model for Fund II while managing Fund I.
• Independently manage relationships with custodians, fund accountants, RTA, trustees, auditors and tax advisors.