Compliance & Operations Manager - PMS

Kgmc India

2 - 4 years

8 - 12 Lacs

gurugram

Posted:20 hours ago| Platform:

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Skills Required

regulatory compliance website compliance pms client handing pms operations compliance management pms clients sebi compliance sebi policies regulatory filings kyc compliance

Work Mode

Work from Office

Job Type

Full Time

Job Description

Job Opening: Compliance & Operations Manager

mid-level Compliance & Operations Manager

Key Responsibilities

Regulatory Compliance
: Oversee the end-to-end SEBI compliance requirements of a PMS.
Regulatory Filings
: Timely preparation and submission of all documents to SEBI and other stakeholders such as APMI.
KYC & Client Compliance
: Ensure proper KYC compliance of all PMS clients and coordinate with clients for compliance requirements.
Policy Execution
: Hands-on execution and enablement of all SEBI PMS policies.
Audit Management
: Lead the annual PMS compliance audit and liaise with auditors to ensure smooth and timely completion.
Process Adherence
: Ensure strict compliance with SEBI-mandated processes including AML, SCORES, Insider Trading, and Website Compliance.

Requirements

Experience
: Minimum 2 years in PMS / AIF / Mutual Fund compliance and operations.
Qualifications
: CA / Semi qualified CA / CS / CMA / LLB / LLM / MBA in finance
Skills
:

Strong knowledge of SEBI regulations and PMS operational requirements.
Excellent verbal and written communication skills.
Ability to work independently with an ownership mindset.
Comfort working in a small, collaborative team.

Other Details

Work Location
: Gurgaon (candidates nearby or willing to relocate preferred).
Engagement
: Full-time, on-site role.

You can also apply by sharing your cv on "hr@kumargoyal.com" with subject line "Compliance & Operations Manager - PMS"

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