Compliance Specialist

This role is for one of the Weekday's clients

Requirements

Key Responsibilities

Regulatory Compliance & SEBI Governance

• Ensure end-to-end compliance with SEBI regulations applicable to PMS, merchant banking distribution, and investment distribution activities.
• Review new circulars, regulatory updates, and guidelines; translate them into actionable compliance requirements for internal teams.
• Implement and maintain compliance policies, SOPs, and frameworks to meet regulatory expectations.
• Conduct regular internal reviews and compliance risk assessments to identify gaps, weaknesses, and areas requiring improvement.
  

PMS Compliance Management

• Oversee PMS activities including onboarding, documentation, client communication, investment execution, and reporting.
• Verify adherence to PMS investment guidelines, mandate restrictions, valuation norms, and performance reporting standards.
• Ensure timely regulatory filings such as monthly PMS reports, audit submissions, and other SEBI-mandated disclosures.
• Support PMS operations and investment teams with compliance monitoring and portfolio-level oversight.
  

Merchant Banking & Distribution Oversight

• Ensure compliance across merchant banking distribution functions including due diligence, documentation, investor outreach, advertisement standards, and product suitability checks.
• Review distribution agreements, investor communication, and marketing material to ensure regulatory alignment.
• Guide sales and product teams on compliance requirements for public issues, private placements, advisory, and distribution activities.
  

Monitoring, Reporting & Controls

• Manage periodic internal audits, compliance testing, and ongoing surveillance to detect breaches or irregularities.
• Prepare reports for senior management and Board-level committees, highlighting compliance status, risks, and corrective actions.
• Coordinate with regulators, auditors, and internal stakeholders during inspections, audits, and information requests.
• Maintain accurate records of compliance documentation, approvals, and regulatory communication.
  

Advisory & Stakeholder Engagement

• Serve as a trusted advisor to business teams, providing guidance on regulatory interpretations, product structuring, and process-level safeguards.
• Conduct compliance training sessions for internal teams to strengthen awareness and adherence.
• Facilitate smooth communication between business units and compliance, ensuring timely approvals and issue resolution.
  

Required Skills & Qualifications

• 5-10 years of experience in compliance roles within PMS, merchant banking, investment distribution, or other SEBI-regulated entities.
• In-depth understanding of SEBI regulations, PMS guidelines, merchant banking requirements, distribution frameworks, and risk controls.
• Strong analytical skills, with the ability to interpret complex regulations and implement practical compliance solutions.
• Excellent communication, documentation, and stakeholder management skills.
• Ability to work independently, handle ambiguity, and manage multiple priorities effectively