Job description

Location: Mumbai

Overview:
We are seeking a detail-oriented and proactive Compliance Manager to support our compliance team in managing the regulatory requirements for Portfolio Management Services (PMS) / Alternative Investment Funds (AIF) and/or Investment Advisory (IA) in India. The ideal candidate to have a strong understanding of the regulatory landscape and a commitment to maintaining the highest standards of compliance.

Key Responsibilities:
• Regulatory Monitoring: Stay updated on relevant laws, regulations, and guidelines from SEBI and other regulatory bodies affecting PMS, AIF, and IA.
• Compliance Reporting: Prepare and submit regular compliance reports and disclosures as required by regulatory authorities.
• Documentation Management: Maintain and organize compliance-related documents, including client agreements, KYC documentation, and regulatory filings.
• Risk Assessment: Assist in identifying, assessing, and mitigating compliance risks associated with PMS, AIF, and IA activities.
• Internal Audits: Support the compliance team in conducting internal audits and compliance reviews to ensure adherence to policies and procedures.
• Policy Development: Assist in the development and implementation of compliance policies and procedures.
• Regulatory Liaison: Act as a point of contact for regulatory bodies during inspections or audits.

Qualification and Experience: 
• Education: Bachelor’s degree in Finance, Law, Business Administration, or a related field. A relevant professional qualification (e.g., CS, LLB, or Compliance certifications) is a plus.
• Experience: 3-4 years of experience in compliance, preferably in PMS, AIF, or IA sectors. 
• Knowledge: Strong understanding of SEBI regulations, compliance frameworks, and industry best practices.
•  Skills: Excellent analytical, organizational, and communication skills. Proficiency in MS Office and compliance management software.
•  Attention to Detail: Ability to work meticulously and handle multiple tasks with accuracy.