Job description

Job Role: Team Lead – Compliance (PMS & AIF)
Experience: 5+ Years
Location:  Santacruz, Mumbai

Key Responsibilities:

• Regulatory Monitoring & Interpretation: Continuously track and interpret SEBI regulations, circulars, and amendments applicable to PMS and AIF, ensuring all changes are accurately implemented.
• SEBI & Regulatory Filings: Manage timely and accurate filing of monthly/quarterly/annual reports and disclosures to SEBI, custodians, and other authorities, as required.
• Policy & Process Implementation: Draft, review, and implement internal compliance manuals, operating procedures, and control frameworks in alignment with SEBI regulations.
• Inspection & Audit Readiness: Lead and coordinate SEBI inspections, internal audits, and compliance reviews; prepare responses to inspection observations and follow-up actions.
• Client Onboarding Oversight: Supervise and monitor compliance of KYC/AML procedures, client agreements, and onboarding documentation in accordance with regulatory norms.
• Risk Assessment: Identify and mitigate regulatory and operational compliance risks associated with PMS and AIF; escalate issues with risk impact analysis.
• Investment & Operational Compliance: Monitor investment restrictions, asset allocation breaches, related party transactions, and ensure adherence to scheme-related guidelines.
• Training & Awareness: Conduct regular training for internal teams on compliance updates, best practices, and regulatory awareness.
• Compliance MIS & Documentation: Maintain accurate records and audit trails of all regulatory interactions, filings, approvals, compliance registers, and internal certifications.

Qualification and Experience:

Education:

• Graduate/Post-Graduate in Law, Finance, Business Administration. Professional qualifications like CS, LLB, CA, or SEBI compliance certifications are preferred.

Experience:

• Minimum 5+ years of core compliance experience in PMS and AIF domain; experience in handling SEBI inspections is essential.
• Knowledge: Thorough understanding of SEBI (Portfolio Managers) Regulations, SEBI (AIF)
• Regulations, and related circulars, best practices, and governance frameworks.

Skills:

• Strong analytical and problem-solving skills
• Excellent written and verbal communication
• Proficient in Microsoft Office, compliance tools, and regulatory portals
• High attention to detail and documentation