8 Pms Compliance Jobs

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 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 by Company from time to time * Ensure regulatory compliances for the Company for the current as well as future regulatory projects Communication Skills: Excellent Verbal and written communication skills. If interested, please give me an acknowledgment by sharing your updated CV on nidhi @thepremierconsultants.com #Compliance #AIF #PMS #AlternateInvestmentFund #PortfolioManagmentServcies #SEBIcompliance #SEBIregulations #capitalMarket #FPI #FDI #EquityFunds #HedgeFunds #AIFComplianceManagement #AIFInspectionHandling #PMScompliance #Custodian #RiskCategorization #SEBI #custody #fixedincome #inscpection #regulatory #audit #hedgefund #capitalmarket Show more Show less

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 Operations) Act as the Principal Officer for Compliance and liaison with SEBI and other regulators. Ensure strict adherence to SEBI PMS Regulations, 2020 . Review and file regulatory returns, disclosures, and compliance reports on time. Conduct internal audits, inspections, and compliance testing. Monitor client communications, transactions, and investment guidelines for compliance. New Business Expansion MF, AIF & GIFT City (Future) Lead compliance setup and frameworks for new business licenses (MF, AIF, IFSCA GIFT City). Ensure alignment with SEBI Mutual Fund Regulations , SEBI AIF Regulations , and IFSCA regulations . Prepare policies, manuals, and SOPs for these new entities. Act as the regulatory liaison during the license application and approval process. Governance & Risk Management Advise the Board and Senior Management on compliance and regulatory risks. Draft, review, and implement compliance policies and internal codes of conduct. Oversee compliance training programs for employees. Handle regulatory inspections, audits, and notices with professionalism. Reporting & Record Keeping Maintain accurate compliance records, registers, and documentation. Provide periodic compliance status reports to the Board and senior leadership. Ensure transparent and timely disclosures to stakeholders. Preferred candidate profile Chartered Accountant (CA) / Company Secretary (CS) / Lawyer / CFA / MBA (Finance or Compliance) . Minimum 1015 years of compliance experience in financial services. Proven track record in SEBI compliance . Exposure to Mutual Fund, AIF, or GIFT City compliance preferred. Strong understanding of Indian securities laws, corporate governance, and regulatory reporting . Excellent leadership, drafting, and stakeholder management skills.

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 by Company from time to time * Ensure regulatory compliances for the Company for the current as well as future regulatory projects Communication Skills: Excellent Verbal and written communication skills. If interested, please give me an acknowledgment by sharing your updated CV on [HIDDEN TEXT] #Compliance #AIF #PMS #AlternateInvestmentFund #PortfolioManagmentServcies #SEBIcompliance #SEBIregulations #capitalMarket #FPI #FDI #EquityFunds #HedgeFunds #AIF Compliance #AIFInspectionHandling #PMScompliance #Custodian #RiskCategorization #SEBI Show more Show less

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: Establishing and monitoring the compliance framework under the SEBI (Portfolio Managers) Regulations, 2020 pertaining to DPMS, NDPMS & Advisory under PMS. Establishing and monitoring the compliance framework under the SEBI (Alternative Investment Fund) Regulations, 2012 for a Category III open ended AIF. Establishing and monitoring the compliance framework under the SEBI (Research Analysts) Regulations, 2014 Overseeing and complying with other applicable SEBI regulations like SEBI Insider Trading Regulations for building an effective compliance culture across numerous licenses within the organisation. Co-ordination with the Board of Directors, management, registrar, transfer agents (RTA), stock exchanges and shareholders. Maintenance of all statutory records, dealings, commercials, etc. adhering to regulatory requirements. Proactively track policies, regulatory, or statutory changes and build appropriate compliance processes and seek timely approvals and uploading of the same on the Companys website. Provide legal, fi nancial and strategic advice as required and liaise with external regulators and advisers such as lawyers and auditors. Maintenance of compliance calendar and preparation of MIS for regulatory compliances for Board Reporting.

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.