Compliance Head

Role & responsibilities

• Regulatory Program Execution

• Develop, implement, and continuously enhance compliance frameworks for PMS operations aligned with SEBI mandates and internal policies.
• Conduct periodic risk assessments on PMS offerings and monitor controls to mitigate noncompliance risks.

• Monitoring, Auditing & Reporting

• Lead internal audits and gap assessments to evaluate ongoing compliance with regulatory requirements and organizational standards.
• Prepare compliance reports summarizing findings and remediation plans for senior leadership and regulators.

• Policy & Process Management

• Develop and update PMS-related compliance policies, procedures, disclosures, and documentation.
• Embed compliance considerations into business operations, on boarding, client agreements, and marketing materials.

• Training & Stakeholder Engagement

• Design and deliver compliance training programs covering PMS regulations, anti-money laundering (AML), fair disclosure, client suitability, breach reporting, and ethics.
• Act as key liaison with frontline sales, portfolio managers, client servicing teams, and legal counsel to resolve compliance queries and concerns.

• Incident Management & Remediation

• Manage compliance investigations, complaint resolution, and remediation plans for PMS implementation lapses.
• Track corrective actions and verify effectiveness of implemented controls.

• Regulatory Interface & Advisory

• Maintain awareness of updates from SEBI and other relevant bodies, advise on applicability to PMS policies, disclosures, and compliance approaches.
• Facilitate external audits and regulatory examinations as needed.