10 Pms Compliance Jobs

Industry : Broking Functional Area : Financial Services Salary : Up to 8 Lacs Candidate Location : Delhi (Barakhambha Road) Qualification : CS / Semi Qualified Language : English and Hindi Job Description:- Company Secretary (CS) Managed e-filing of various forms and returns under Companies Act, 2013 on the MCA portal, Stock Exchanges, RBI and other Regulatory Authorities. Need to handle PMS Compliance. Prepare notice and agenda for conducting board meetings and other committee meetings. Communicating and Co-ordinating with various stakeholders. Skills Required: Communication Time Management MSOffice Corporate Governance Legal Interpretation Compliance Management

This role is for one of our clients Industry: Finance Seniority level: Associate level Location: Mumbai JobType: full-time We are looking for a meticulous and proactive Compliance Manager PMS to oversee all regulatory and compliance functions related to our Portfolio Management Services. This role is critical in ensuring end-to-end adherence to SEBI regulations, maintaining transparency with regulators, and embedding a culture of compliance across the organization. Key Responsibilities Regulatory Compliance & Governance Lead compliance for PMS operations, ensuring 100% adherence to SEBI regulations and other applicable laws. Review, prepare, and file regulatory reports, disclosures, and subm...

This is Regarding the Opening for Leading Fund Management Firm as a Senior Manager/Chief Manager-Compliance - AIF/PMS/fixed Income Role: Senior Manager/Chief Manager-Compliance - AIF/PMS/fixed Income Location: Mumbai Experience: 3-10 in compliance management in AIF/PMS/Fixed income/SEBI Working Days: 5 Days(WFO) Job Requirements: *A Good experience in activities in the securities market or financial products including in a portfolio manager, broker dealer, investment advisor, wealth manager, research analyst or fund management * Candidates with exposure in AIF/ PMS compliance. Job Responsibilities: * Will be coordinating with the clients of the Company for SEBI AIF/ PMS compliances. * To res...

Position Overview We are seeking a highly experienced and senior-level Compliance Officer to lead and oversee the compliance function at Stallion Asset Pvt. Ltd. Currently operating as a SEBI-registered Portfolio Management Services (PMS) firm, we are also in the process of applying for additional licenses including Mutual Fund, Alternative Investment Fund (AIF), and GIFT City-based entities . The ideal candidate should have deep expertise in SEBI regulations , strong exposure to PMS compliance , and the ability to establish compliance frameworks for new business verticals . This is a leadership role reporting directly to the Board. Role & responsibilities Regulatory Compliance PMS (Current ...

This is Regarding the Opening for Leading Fund Management Firm !! Role: Compliance Location: Mumbai Experience: 3-10yYears Working Days: 5 Days(WFO) Job Requirements: *A Good experience in activities in the securities market or financial products including in a portfolio manager, broker dealer, investment advisor, wealth manager, research analyst or fund management * Candidates with exposure in AIF/ PMS compliance. Job Responsibilities: * Will be coordinating with the clients of the Company for SEBI AIF/ PMS compliances. * To resolve the regulatory queries of the clients * To co-ordinate during Inspection/ Audit * Shall assist in various group level restructuring projects as may be initiated...

We are looking for an experienced Company Secretary who will serve as a key support to the management team and ensure the organizations full compliance with regulatory frameworks In this role, you will be instrumental in overseeing our PMS, AIF, and Research Analyst compliance functions, working closely with senior leadership to ensure the company operates within all applicable SEBI regulations Youll play a critical part in maintaining high standards of corporate governance, ensuring timely regulatory fi lings, and offering legal and strategic advice when needed Min. experience: more than 2 years in this domain Qualification : Qualified Company Secretary Roles and Responsibilities: Establish...

Ensure compliance with SEBI PMS Regulations Develop and maintain Compliance Manual, Checklist, Tracking, and Reporting Assist in AML/PMLA & Insider Trading Compliance Assist in concurrent, internal, and statutory audits related to PMS.2-3 years of experience in PMS/AIF/MF compliances. Knowledge of SEBI PMS regulations, Companies Act 2013, AML/PMLA, and Insider Trading regulations.

Ensure compliance with SEBI PMS Regulations Develop and maintain Compliance Manual, Checklist, Tracking, and Reporting Assist in AML/PMLA & Insider Trading Compliance Assist in concurrent, internal, and statutory audits related to PMS.2-3 years of experience in PMS/AIF/MF compliances. Knowledge of SEBI PMS regulations, Companies Act 2013, AML/PMLA, and Insider Trading regulations.

Ensure compliance with SEBI PMS Regulations Develop and maintain Compliance Manual, Checklist, Tracking, and Reporting Assist in AML/PMLA & Insider Trading Compliance Assist in concurrent, internal, and statutory audits related to PMS.2-3 years of experience in PMS/AIF/MF compliances. Knowledge of SEBI PMS regulations, Companies Act 2013, AML/PMLA, and Insider Trading regulations.

Ensure compliance with SEBI PMS Regulations Develop and maintain Compliance Manual, Checklist, Tracking, and Reporting Assist in AML/PMLA & Insider Trading Compliance Assist in concurrent, internal, and statutory audits related to PMS.2-3 years of experience in PMS/AIF/MF compliances. Knowledge of SEBI PMS regulations, Companies Act 2013, AML/PMLA, and Insider Trading regulations.