Compliance Officer - PMS

- Act as the designated Compliance Officer under SEBI PMS Regulations.

- Ensure timely compliance with SEBI regulations, circulars, and guidelines related to PMS.

- Oversee investor grievance redressal mechanism and maintain records as per SEBI requirements.

- Monitor investment operations, disclosures, client agreements, and ensure adherence to regulatory and internal guidelines.

- File regulatory returns and reports with SEBI, stock exchanges (if applicable), and other statutory bodies.

- Conduct compliance testing, monitoring, and periodic reviews of policies and processes.

- Liaise with regulators, auditors, custodians, and other external stakeholders on compliance-related matters.

- Maintain and update compliance manuals, policies, and SOPs.