Compliance Associate

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.

• 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.

• 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.

• 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.

• 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.

• 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.

• Total Annual Salary - ₹21,00,000

• Fixed Annual Salary - ₹18,00,000

• Retention bonus - ₹3,00,000 paid at the end of the year.

• An opportunity to work with one of the most dynamic venture capital firms in India, contributing to thought leadership in the startup and financial ecosystems.

• Opportunities for professional growth and leadership development within the organization.