Compliance & Audit Role - PMS/AIF/Investment Advisory Entity - Private Wealth Management Firm

Description:

1. Regulatory & SEBI Compliance:

- Ensure full compliance with SEBI regulations applicable to PMS, AIF, and Investment Advisory entities.

- Track and implement regulatory updates, circulars, and guidelines issued by SEBI and other authorities.

- Prepare and file periodic compliance reports, regulatory returns, and other filings within prescribed timelines.

- Maintain and update compliance policies, standard operating procedures, and compliance manuals.

Research Analyst Compliances

2. PMS & AIF Compliance:

- Monitor compliance with SEBI (Portfolio Managers) Regulations, 2020 and SEBI (Alternative Investment Funds) Regulations, 2012.

- Review investment activities, portfolio reports, and client documentation for regulatory adherence.

- Liaise with custodians, trustees, and auditors to ensure end-to-end compliance in operations.

- Conduct periodic compliance checks on investment restrictions, disclosures, and reporting requirements.

3. Investment Advisory Compliance:

- Ensure compliance with SEBI (Investment Advisers) Regulations, 2013.

- Review client onboarding, KYC, risk profiling, and suitability assessment processes.

- Monitor advisory fee structures, disclosures, and conflict-of-interest management.

- Oversee complaint redressal processes and ensure adherence to grievance handling standards.

4. Audit & Risk Management:

- Lead and coordinate internal, external, and regulatory audits - including audit planning, documentation, and closure of audit points.

- Conduct periodic internal compliance reviews and risk assessments across business units.

- Identify potential compliance risks, recommend corrective actions, and ensure implementation of audit findings.

5. Policy, Governance & Reporting:

- Develop and maintain compliance frameworks and dashboards for management review.

- Ensure website and marketing materials meet SEBI-mandated disclosure requirements.

- Prepare compliance notes, certifications, and periodic MIS reports for management and the Board.