Compliance & Audit

We are looking for a detail-oriented and proactive Compliance & Audit Executive to ensure adherence to SEBI regulations and internal policies across Portfolio Management Services (PMS), Alternative Investment Funds (AIF), and Investment Advisory (IA) activities. The candidate will also support audit functions and assist in maintaining regulatory and operational compliance across the organization.

1. Regulatory Compliance (SEBI & Others):

• Monitor and ensure adherence to SEBI regulations applicable to PMS, AIF, and Investment Advisory.
• Stay updated on amendments and circulars issued by SEBI and other regulators (RBI, AMFI, etc.).
• Assist in preparing and filing periodic regulatory reports and returns (monthly, quarterly, annual) to SEBI and other statutory bodies.
• Maintain internal compliance trackers and logs for regulatory filings and correspondence.

2. PMS & AIF Compliance:

• Monitor compliance with SEBI (PMS) Regulations, 2020 and SEBI (AIF) Regulations, 2012.
• Ensure compliance in client Onboarding, documentation, investment restrictions, disclosures, and reporting.
• Review investment strategy implementation, deviation reporting, and client communication.
• Coordinate and prepare reports for trustees, custodians, and auditors.

3. Investment Advisory Compliance:

• Ensure compliance with SEBI (Investment Advisers) Regulations, 2013.
• Conduct periodic checks for conflict of interest, suitability, and risk profiling processes.
• Review and monitor disclosures, fee structure, grievance redressal, and client agreements.

4. Internal and External Audit:

• Assist in statutory, internal, and compliance audits, including audit preparation, data collation, and timely closure of audit findings.
• Support client portfolio audits and operational risk reviews.
• Maintain documentation and evidence for all audit trails and compliance checks.

5. Policies, Processes & Website Compliance:

• Periodically review and update compliance policies and internal SOPs as per regulatory changes.
• Ensure website disclosures and updates are in line with SEBI requirements.
• Assist in review of marketing material, presentations, and investor communications for regulatory accuracy.

Qualification

• Graduate/Postgraduate in Commerce, Finance, or Law. Professional qualifications like CA, CS, CFA, or LLB preferred.
• 3 - 7 years of experience in compliance or audit roles in PMS, AIF, or investment advisory setups.
• Strong understanding of SEBI regulations and other financial market regulatory frameworks.
• Proficiency in Excel, Word, and regulatory portals (SEBI intermediary portal, SCORES, etc.).

Strong attention to detail, analytical thinking, and good communication skills.