Head of Compliance / Chief Compliance Officer Stallion Asset

10.0 - 20.0 years

40 - 100 Lacs

mumbai

Work from Office

Position Overview We are seeking a highly experienced and senior-level Compliance Officer to lead and oversee the compliance function at Stallion Asset Pvt. Ltd. Currently operating as a SEBI-registered Portfolio Management Services (PMS) firm, we are also in the process of applying for additional licenses including Mutual Fund, Alternative Investment Fund (AIF), and GIFT City-based entities . The ideal candidate should have deep expertise in SEBI regulations , strong exposure to PMS compliance , and the ability to establish compliance frameworks for new business verticals . This is a leadership role reporting directly to the Board. Role & responsibilities Regulatory Compliance PMS (Current ...

Posted 2 months ago

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Compliance Officer The Premier Consultants ( Recruitment Company )

3.0 - 10.0 years

0 Lacs

Mumbai, Maharashtra, India

On-site

This is Regarding the Opening for Leading Fund Management Firm !! Role: Compliance Location: Mumbai Experience: 3-10yYears Working Days: 5 Days(WFO) Job Requirements: *A Good experience in activities in the securities market or financial products including in a portfolio manager, broker dealer, investment advisor, wealth manager, research analyst or fund management * Candidates with exposure in AIF/ PMS compliance. Job Responsibilities: * Will be coordinating with the clients of the Company for SEBI AIF/ PMS compliances. * To resolve the regulatory queries of the clients * To co-ordinate during Inspection/ Audit * Shall assist in various group level restructuring projects as may be initiated...

Posted 2 months ago

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Investor Relations and Operations Specialist Client

2.0 - 6.0 years

0 Lacs

maharashtra

On-site

The investor servicing & operations assistant position based in Mumbai offers an opportunity to work in a proactive and organized role providing administrative and operational support. The ideal candidate should possess strong communication skills, be detail-oriented, and able to work independently while maintaining a professional demeanor. This full-time position is suited for experienced candidates with 2-5 years of relevant experience. Key Responsibilities: - Email Management: Draft, review, and send professional emails to investors ensuring clear communication. - Scheduling & Coordination: Efficiently manage calendars, schedule meetings, and coordinate appointments. - Documentation & Rep...

Posted 3 months ago

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Compliance Officer - PMS_AIF Green Portfolio

2.0 - 4.0 years

12 Lacs

Gurugram

Work from Office

We are looking for an experienced Company Secretary who will serve as a key support to the management team and ensure the organizations full compliance with regulatory frameworks In this role, you will be instrumental in overseeing our PMS, AIF, and Research Analyst compliance functions, working closely with senior leadership to ensure the company operates within all applicable SEBI regulations Youll play a critical part in maintaining high standards of corporate governance, ensuring timely regulatory fi lings, and offering legal and strategic advice when needed Min. experience: more than 2 years in this domain Qualification : Qualified Company Secretary Roles and Responsibilities: Establish...

Posted 3 months ago

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Assistant Manager - AIF Operations Skillventory

3.0 - 8.0 years

5 - 10 Lacs

Mumbai

Work from Office

Role & responsibilities Understanding of AIF Compliance and regulations of CAT I, II & III Quarterly SEBI Report/STPI Repot ISIN Creation on NSDL & CDSL Dematerialisation of AIF Units Processing of Dealing Instruction for Off-Market transaction like IPO/Anchor Trade Confirmation over steady platform & Settlement Understanding of Management fee and NAV calculation Distributor Commission calculation Advanced Tax Income statement. Preparation of Form 64C working and TDS validation for AIF. Annual Income statements to investors. K1 & K3 reporting. Daily transactions uploading and Fund Accounting in internal software. Finalization of accounts and Closing of Statutory Audit Daily Reconciliations (...

Posted 3 months ago

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