Compliance Officer ( PMS & AIF )

Job Description

Department: Compliance Job Summary: We are seeking a highly motivated and detail-oriented Compliance Officer to join our growing team. The successful candidate will be responsible for ensuring adherence to all applicable SEBI regulations and guidelines related to Portfolio Management Services (PMS) and Alternative Investment Funds (AIFs). This role will involve monitoring regulatory changes, conducting internal audits, statutory audits, SEBI compliances and maintaining comprehensive compliance records. Key Responsibilities: Regulatory Compliance: o Monitor and interpret all applicable SEBI regulations, circulars, and guidelines related to PMS and AIFs. o Advise business units on regulatory requirements and best practices. o Conduct regular reviews of internal policies, procedures, and controls to ensure compliance. o Develop and implement compliance programs and training modules for relevant staff. Internal Audits and Controls: o Conduct periodic internal audits to assess compliance with regulatory requirements and internal controls. o Investigate and resolve compliance issues and deficiencies. o Maintain accurate and up-to-date compliance records and documentation. Regulatory Reporting: o Prepare and file all regulatory filings with SEBI, including but not limited to: Monthly/Quarterly reports Annual returns Sebi offsite PPM audit report INVI filing Other regulatory filings as required o Ensure timely and accurate submission of all regulatory reports. Liaison with Regulators: o Interact and coordinate with SEBI and other regulatory authorities on compliance matters. o Respond to inquiries and requests from regulators. Risk Management: o Identify and assess compliance risks and implement appropriate mitigation measures. o Monitor market trends and regulatory developments to proactively address potential compliance issues. Due Diligence: Conduct due diligence on all inflows and outflows of funds to ensure compliance with AML/KYC regulations and other applicable laws. Qualifications & Experience: Bachelor's degree in law, CS, finance, or a related field. NISM Series III A certificate will be given Preference. 3+ years of experience in compliance within the asset management industry, with a strong focus on PMS and AIFs. In-depth knowledge of SEBI regulations and guidelines pertaining to PMS and AIFs. Strong analytical, problem-solving, and decision-making skills. Excellent communication, interpersonal, and presentation skills. Detail-oriented with strong organizational and time-management skills. Proficient in MS Office Suite (Word, Excel, PowerPoint). Experience with Wealth spectrum software will be added advantage.