Designation: Manager / Senior Manager (PMS,AIF)

Location: Mumbai

Department: Compliance

Job Summary

The Manager / Senior Manager - Compliance will ensure end-to-end compliance with SEBI regulations applicable to AIFs and PMS, manage regulatory filings and audits, oversee AML and insider trading compliance, support fund launches and documentation, and implement regulatory circulars. The role involves close coordination with internal teams, service providers, and regulators.

Key Responsibilities

Regulatory Compliance

- Ensure compliance with SEBI (AIF) Regulations, 2012 and SEBI (PMS) Regulations, 2020, along with applicable circulars and guidelines.

- Monitor regulatory developments for AIF and PMS operations and assist in implementing changes.

- Support senior management in regulatory interpretation and compliance strategy.

Regulatory Reporting & Filings

- Prepare and submit periodic and event-based filings to SEBI for both AIF and PMS operations.

- Maintain regulatory registers, trackers, and documentation for SEBI inspections.

- Coordinate with fund administrators, trustees, custodians, and legal advisors for accurate filings.

Audit & Inspections

- Manage internal audits, statutory audits, and SEBI inspections for both AIF and PMS.

- Coordinate with auditors and ensure timely submission of data and responses.

- Track and ensure closure of audit observations.

AML & KYC Compliance

- Implement and monitor AML / KYC frameworks in line with PMLA and SEBI requirements.

- Review suspicious transaction reports and support regulatory submissions.

- Assist in AML audits and regulatory examinations for both AIFs and PMS.

Insider Trading Compliance

- Monitor compliance with Insider Trading regulations and the Code of Conduct.

- Maintain records of designated persons, disclosures, and trading approvals.

- Support investigations and escalation of potential violations.

Fund & Scheme Documentation

- Support launch of new AIF schemes and PMS strategies, including regulatory filings and approvals.

- Review and update PPMs, SID/SAI/KIM for AIFs, and PMS disclosures.

- Ensure all documentation is updated in line with regulatory changes.

Policy Implementation & Training

- Assist in drafting, updating, and implementing compliance policies and procedures for AIFs and PMS.

- Conduct compliance awareness sessions and training for employees.

- Coordinate with internal teams to ensure adherence to policies.

Key Requirements

- Strong knowledge of SEBI AIF Regulations, SEBI PMS Regulations, AML/PMLA, and Insider Trading regulations.

- Hands-on experience in compliance reporting, audits, and regulatory interactions for AIFs and PMS.

- Strong analytical, documentation, and stakeholder management skills.

- High integrity and attention to detail.

Qualifications & Experience

- CA / CS / LLB

- 5-15 years of relevant experience in compliance or regulatory roles within AIF, PMS, PMS-advisory, PE, or Asset Management.

- Prior experience with SEBI filings, trustees, fund administrators, and auditors preferred.