Compliance Officer

Key Responsibilities

Compliance (PMS & Regulatory)

Act as the designated Compliance Officer under SEBI PMS Regulations.

Ensure timely compliance with SEBI regulations, circulars, and guidelines related to PMS.

Oversee investor grievance redressal mechanism and maintain records as per SEBI requirements.

Monitor investment operations, disclosures, client agreements, and ensure adherence to regulatory and internal guidelines.

File regulatory returns and reports with SEBI, stock exchanges (if applicable), and other statutory bodies.

Conduct compliance testing, monitoring, and periodic reviews of policies and processes.

Liaise with regulators, auditors, custodians, and other external stakeholders on compliance-related matters.

Maintain and update compliance manuals, policies, and SOPs.

Company Secretarial & Governance

Act as the Company Secretary, ensuring compliance with the Companies Act, 2013 and rules thereunder.

Organize, convene, and record minutes of Board Meetings, Committee Meetings, and General Meetings.

Draft Board notes, resolutions, and maintain statutory registers and records.

Handle corporate governance matters and provide guidance to the Board on legal and governance issues.

Ensure timely filing of ROC forms, returns, and other statutory filings.

Support the Board and management in ensuring effective governance practices and compliance culture.

Advisory & Risk Management

Advise management on compliance implications of new business initiatives, products, or partnerships.

Identify, assess, and mitigate compliance risks across functions.

Conduct internal awareness sessions to build compliance culture across the organization.

Desired Candidate Profile

Qualification:

Member of Institute of Company Secretaries of India (ICSI) – Mandatory

Law degree or additional compliance certifications preferred

Experience:

Minimum 7 years of experience in Compliance & Company Secretarial roles in PMS & AIF

Strong understanding of SEBI PMS Regulations, Companies Act, FEMA, and other relevant regulatory frameworks.

Skills & Attributes:

In-depth knowledge of regulatory environment and compliance practices.

Strong communication, drafting, and advisory skills.

High integrity, attention to detail, and ability to influence senior stakeholders.

Proactive, structured, and capable of handling multiple responsibilities independently.

Package up to 30 Lpa

Qualification -

CS+LLB

CS+MBA

CS+MCom

CS+CA

CS+Any Post Graduate with Finance