Vice President - Compliance - Portfolio Management Services

We are looking for a highly accomplished and business-aligned Compliance Officer to build and lead the compliance framework for a fast-growing PMS platform. This is a strategic leadership role requiring strong regulatory expertise, risk governance capability, and the ability to support rapid business expansion while ensuring complete adherence to applicable laws and best practices.

Role: Compliance Officer (VP Level)

Industry: Portfolio Management Services (PMS)

Business Stage: Newly Formed PMS

Location: Mumbai

About the Role

Key Responsibilities:

- Establish and lead the end-to-end compliance function for the PMS business.

- Ensure compliance with SEBI PMS Regulations, AML/KYC norms, FEMA, Companies Act, PMLA, and related guidelines.

- Develop internal policies, SOPs, monitoring systems, and governance controls.

- Liaise with SEBI, exchanges, auditors, custodians, trustees, and legal advisors.

- Oversee client onboarding compliance, disclosures, reporting, and grievance redressal.

- Drive surveillance on trades, insider trading controls, conflict management, and code of conduct adherence.

- Lead regulatory filings, inspections, audits, and board-level compliance reporting.

- Partner with leadership to enable scalable and compliant growth.

- Build and mentor a high-performing compliance team.

Interested candidates kindly apply with your updated CV.

Note: Only candidates based in Mumbai will be considered.

Sneha Purohit
Lead Recruitment Specialist
Quest Business