Compliance Officer - PMS - LLB/CS

Description:

Job Title: Compliance Officer AIF/PMS.

Location: Mumbai (Andheri).

Experience Required: 67 years.

About the Role:

We are looking for an experienced Compliance Officer to manage and oversee compliance for our Alternative Investment Fund (AIF) and Portfolio Management Services (PMS) business.

The role involves ensuring adherence to SEBI regulations, internal policies, and providing guidance to business teams.

Key Responsibilities:

- Ensure compliance with SEBI (AIF/PMS) regulations, circulars, and reporting requirements.

- Draft, implement, and update compliance policies and internal controls.

- Monitor KYC/AML processes and investor onboarding.

- Handle regulatory inspections, audits, and filings.

- Liaise with regulators, custodians, trustees, auditors, and other stakeholders.

- Provide compliance advisory support to investment, sales, and operations teams.

- Conduct regular compliance reviews and maintain proper documentation.

Requirements:

- 6-7 years of experience in compliance within AIF/PMS/Wealth Management domain.

- Strong understanding of SEBI regulations, AML/KYC norms, and investment operations.

- Professional qualifications such as CS/LLB/MBA (Finance) preferred.

- Strong communication and stakeholder management skills.