Compliance Manager

Compliance Manager

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About the Organization

Our client is a new-age, India-focused investment advisory and Portfolio Management Services (PMS) firm. It exclusively invests in high-quality listed Indian companies led by honest, competent executives, and aims for long-term absolute risk-adjusted returns by buying at prices that offer a margin of safety.

The firm claims a cumulative track record since November 2019 of delivering a ~56% IRR versus ~29% IRR for BSE 500. The team brings extensive investment experience from leading Indian private equity firms and has previously delivered over 3× returns on a corpus of ~$100 million under their personal advice.

Role Summary

Compliance and Operations Manager

Job Expectations

1. Oversee the

   end-to-end SEBI compliance requirements of a PMS.

2. Responsible for timely preparation and submission of all documents to SEBI and other stakeholders such as APMI.
3. Ensure proper KYC compliance of all PMS clients.
4. Be hands-on in execution and enablement of all SEBI PMS policies.
5. Lead the annual PMS compliance audit and liaise with PMS auditors to ensure smooth and timely completion.
6. Ensure all SEBI-mandated processes such as AML, SCOREs, Insider Trading, and Website compliance are adhered to.
7. Reach out to clients for compliance requirements when necessary.
8. Possess excellent verbal and written communication skills.
9. Work effectively in a small team, acting as an individual contributor with an ownership mindset.