Compliance Officer

Position/Role-PMS Compliance Officer

Expereince-2-3 years in PMS Compliance(Mandatory)

Job Type-Full Time

Key Responsibilities:

A.Compliance

• Ensure day to day compliance with SEBI PMS regulations,circulars,and reporting requirements.
• Prepare and file regulatory reports(monthly,quarterly,annual)
• Maintain upto date compliance registers and documentation
• Coordinate with auditors for internal ,statutory ,and compliance audits.
• Monitor investment guidelines ,client mandates,and portfolio breaches
• Assist in drafting and reviewing compliance policies /SOPs.

Manage KYC,onboarding checks,and ensure AML/PMLA compliance

B.Operations

• Coordinate with brokers,custodians and fund accountants for daily operations.
• Oversee trade execution confirmations,contract notes,and transaction reconciliation
• Verify holdings,cash balances,margins,and reconciliations
• Support portfolio accounting,NAV checks,and performance reporting
• Handle client onboarding documentation,agreements,and account opening processes
• Resolve operational queries from clients,custodians ,and internal teams

Required Skills&Qualifications

• 2 to 3 years of expereince in Portfolio Management Services (PMS) Compliance (Mandatory)
• Strong understanding of SEBI PMS Regulations ,PMLA requirements, and client onboarding norms
• Good Knowledge of capital markets,equities,broking operations,and settlement cycles
• Proficiency with MS Excel,expereince with PMS software(Wealth Spectrum/PMS Software is and advantage).Not mandatory but preferred
• Attention to detail,strong documentation
• Good Communication skills

Job Type: Full-time

Pay: ₹300,000.00 - ₹600,000.00 per year

Experience:

• PMS Compliance: 2 years (Required)

Work Location: In person