Compliance Officer - Portfolio Management Services

Key Responsibilities:

- Ensure ongoing compliance with SEBI (Portfolio Managers) Regulations, 2020 and any amendments thereof.

- Liaise with SEBI, auditors, custodians, and other regulatory bodies for periodic filings, inspections and responses.

- Review and update compliance manuals, policies, and standard operating procedures (SOPs) in line with changing regulations.

- Oversee client onboarding, KYC, and documentation to ensure adherence to AML and PMS regulatory norms.

- Monitor investment restrictions, disclosure requirements and reporting obligations.

- Conduct periodic internal compliance reviews, identify gaps and recommend corrective measures.

- Prepare and file SEBI reports, including quarterly, half-yearly and annual submissions.

- Assist in regulatory audits, inspections, and internal/external audits.

- Ensure timely dissemination of regulatory changes to relevant teams and support implementation.

- Maintain compliance records, registers, and ensure accuracy of client communications and disclosures.

Desired Candidate Profile:

- Education: Postgraduate qualification is mandatory - MBA (Finance), LL.B, or equivalent professional degree (CA / CS / CFA preferred).

- Experience: 7-10 years of experience in regulatory compliance within PMS, AIF, Mutual Fund, or Wealth Management firms.

- In-depth understanding of SEBI PMS Regulations, AML guidelines and related regulatory frameworks.

- Strong communication and coordination skills with internal teams and regulators.

- Attention to detail, integrity, and ability to manage multiple compliance workflows independently.

- Exposure to AIF or advisory compliance will be an added advantage.