Job description

Experience: 5+ Years
Location: Prabhadevi, Mumbai

Job Purpose:
We are seeking an experienced and detail-oriented professional to manage and oversee all aspects of regulatory compliance and audit within our PMS, AIF, and Investment Advisory business verticals. The role involves ensuring adherence to SEBI regulations, managing internal and external audits, implementing compliance frameworks, and proactively identifying regulatory risks across business operations.

Roles and Responsibilities:
1. Regulatory & SEBI Compliance
• Ensure full compliance with SEBI regulations applicable to PMS, AIF, and Investment Advisory entities.
• Track and implement regulatory updates, circulars, and guidelines issued by SEBI and other authorities.
• Prepare and file periodic compliance reports, regulatory returns, and other filings within prescribed timelines.
• Maintain and update compliance policies, standard operating procedures, and compliance manuals.
• Research Analyst Compliances

2. PMS & AIF Compliance
• Monitor compliance with SEBI (Portfolio Managers) Regulations, 2020 and SEBI (Alternative Investment Funds) Regulations, 2012.
• Review investment activities, portfolio reports, and client documentation for regulatory adherence.
• Liaise with custodians, trustees, and auditors to ensure end-to end compliance in operations.
• Conduct periodic compliance checks on investment restrictions, disclosures, and reporting requirements.

3. Investment Advisory Compliance
• Ensure compliance with SEBI (Investment Advisers) Regulations, 2013.
• Review client onboarding, KYC, risk profiling, and suitability assessment processes.
• Monitor advisory fee structures, disclosures, and conflict-of interest management.
• Oversee complaint redressal processes and ensure adherence to grievance handling standards.

4. Audit & Risk Management
• Lead and coordinate internal, external, and regulatory audits – including audit planning, documentation, and closure of audit points.
• Conduct periodic internal compliance reviews and risk assessments across business units.
• Identify potential compliance risks, recommend corrective actions, and ensure implementation of audit findings.
5. Policy, Governance & Reporting
• Develop and maintain compliance frameworks and dashboards for management review.
• Ensure website and marketing materials meet SEBI-mandated disclosure requirements.
• Prepare compliance notes, certifications, and periodic MIS reports for management and the Board.
• Support management in new product or business structure approvals from regulatory authorities

Qualifications:
• Education: Graduate / Postgraduate in Commerce, Finance, Law, or related fields. Professional qualifications such as CA / CS / CFA / LLB / MBA (Finance) preferred.
• Experience: 5–8 years of relevant experience in compliance or audit within PMS, AIF, or Investment Advisory firms.
• Strong knowledge of SEBI regulations, audit standards, and regulatory reporting frameworks.
• Experience in managing compliance audits, drafting policies, and handling regulatory inspections.
• Excellent analytical, communication, and stakeholder management skills.
• Proficiency in MS Excel, SEBI intermediary portal, SCORES, and regulatory filing tools.