Compliance Executive

As a Compliance Executive / Senior Executive, you will support the compliance function for our Portfolio Management Services (PMS), ensuring that all activities are in line with SEBI regulations and internal guidelines. You will work closely with the Compliance Manager to assist in regulatory filings, documentation, audits, and day-to-day compliance tasks, while developing a strong foundation in regulatory frameworks.

Responsibilities:

1. Assist in ensuring compliance with SEBI PMS Regulations, Circulars & Notifications:

• Stay informed about regulatory changes and support the implementation of updates in internal

policies.

• Assist in drafting and maintaining compliance checklists and policy documents.

2. Support in the maintenance of the Compliance Manual, Checklist, Tracking, and Reporting:

• Help in updating and organising compliance manuals and tracking tools.

• Assist in periodic internal reviews and documentation updates.

3. Assist in Regulatory Filings:

• Help prepare regulatory reports and submissions to SEBI and APMI under the guidance of the

Compliance Manager.

• Ensure timely collation of data for accurate filings.

4. Support Statutory Compliance under Companies Act 2013:

• Aid in monitoring applicable provisions under the Companies Act relevant to PMS.

• Assist in maintaining statutory registers and supporting documentation.

5. Assist in Audits:

• Support concurrent, internal, and statutory audits by preparing required documentation and

responding to audit queries.

• Follow up on audit observations and support implementation of corrective actions.

6. Support in AML/PMLA & Insider Trading Compliance:

• Help implement and monitor procedures related to AML, PMLA, and Insider Trading.

• Assist in training coordination and compliance awareness initiatives.

7. Support Client and Distributor Documentation:

• Assist with the onboarding and documentation process for PMS clients and distributors, ensuring compliance with SEBI regulations.

Educational Qualification, Skills, and Experience:

Educational Qualifications: CS (preferably a topper or high-ranking student); LLB/LLM would be an added advantage

freshers are encouraged to apply)

Skills:

• Strong academic foundation with good understanding of regulatory frameworks.

• Eager to learn, with the ability to grasp and interpret SEBI and Companies Act regulations.

• Strong drafting, documentation, and organisational skills.

• High level of ownership, attention to detail, and professionalism.

• Strong communication and interpersonal skills, with the ability to work collaboratively.