InvesQ Investment Advisors - Compliance Officer - PMS Regulations

Description:

Job Title: Compliance Officer - PMS

Location: Pune

Experience Required: 2 to 3 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:

- 2 to 3 years of experience in compliance within AIF/PMS domain.

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

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

- Strong communication and stakeholder management skills.