Compliance Officer - PMS & AIF

Key Responsibilities:

- Ensure end-to-end compliance with SEBI PMS and AIF Regulations, circulars, guidelines, and other applicable regulatory requirements.

- Monitor fund operations, investor onboarding, KYC/AML processes, investment restrictions, portfolio limits, and investor disclosures.

- Manage SEBI regulatory filings, inspections, audits, and regulatory correspondence.

- Review marketing materials, Private Placement Memorandums (PPMs), performance disclosures, and client communications to ensure regulatory compliance.

- Develop, implement, and maintain compliance policies, Standard Operating Procedures (SOPs), and monitoring programmes.

- Track regulatory updates and ensure timely implementation of applicable changes.

- Conduct compliance reviews, identify potential risks, and recommend corrective actions.

- Prepare compliance MIS and periodic reports for senior management and the Board.

- Coordinate with internal teams, auditors, and regulatory authorities on compliance-related matters.

Required Candidate Profile:

- 5 - 7 years of experience in a SEBI-regulated entity such as PMS, AIF, Mutual Fund, Broking, or Investment Advisory.

- Postgraduate qualification in Law is mandatory.

- Company Secretary (CS) or Chartered Accountant (CA) qualification preferred.

- Strong knowledge of SEBI regulations, compliance monitoring, and risk assessment.

- Experience handling regulatory filings, audits, inspections, and compliance documentation.

- Understanding of KYC/AML requirements, investor onboarding, fund operations, and disclosure norms.

- NISM certification will be an added advantage.

- Strong analytical, documentation, communication, and stakeholder management skills.