Compliance Officer

Company Description

Our Story:

At GSW, we are transforming the portfolio management landscape in India. Born from decades of industry experience, we recognized a critical gap: while investment talent is abundant, the barriers to entering portfolio management are high. We set out to change this.

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Our Mission:

We are democratizing the portfolio management industry by empowering talented investment professionals to focus on what they do best - manage portfolios and serve clients. We eliminate traditional barriers like high net worth requirements, operational complexities, and regulatory challenges, making it possible for skilled managers to thrive.

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What Sets Us Apart?

Our approach is unique because we understand portfolio management from every angle. Our founding team brings together over 100 years of combined experience in asset management and financial services. We have been in your shoes, we have built and managed successful investment operations, and we have designed GSW to solve the real challenges that portfolio managers face.

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Our Commitment:

We are more than a platform - we're your partner in success. Our comprehensive infrastructure, cutting-edge technology, and expert support teams work tirelessly to help you build and scale your portfolio management business. When you succeed, we succeed.

Role Description

Key Responsibilities:*

1. *Regulatory Compliance PMS*: Ensure 100% adherence to SEBI PMS Regulations, circulars, and guidelines.

2. *Client Onboarding*: Oversee KYC, AML, and PMLA requirements for clients.

3. *Risk Management*: Identify, assess, and mitigate risks associated with portfolio management.

4. *Reporting and Documentation*: Prepare and submit reports to SEBI, clients, and internal stakeholders.

5. *Policy Development*: Develop, review, and update internal policies and procedures.

*Requirements:*

1. *Qualifications*: CS or law degree from a recognized institution.

2. *Experience*:3 to 10 years in compliance roles, preferably in PMS, broking, or asset management.

3. *Skills*: Strong understanding of regulatory frameworks, analytical, and problem-solving skills.

*How to Apply:*

• If you're passionate about compliance and wealth management, please submit your resume to thresa@thegoldstandard.in