PMS Compliance Manager

Acme Services

2 - 6 years

3 - 8 Lacs

Thane Maharashtra India

Posted:1 week ago| Platform: Foundit logo

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Skills Required

Portfolio Management Compliance Management sebi regulations Audit Assistant Analytical Skills Communication Skills

Work Mode

On-site

Job Type

Full Time

Job Description

PMS (Portfolio Management Services) Compliance Manager

Key Responsibilities

SEBI PMS Regulations Compliance
: Ensure comprehensive and strict
compliance with SEBI PMS Regulations
across all aspects of the Portfolio Management Services operations.
Compliance Documentation & Tracking
: Develop and meticulously
maintain Compliance Manuals, Checklists, Tracking mechanisms, and Reporting frameworks
to ensure systematic adherence to regulatory requirements.
AML/PMLA & Insider Trading Support
: Provide essential assistance in ensuring compliance with
AML (Anti-Money Laundering)/PMLA (Prevention of Money Laundering Act) & Insider Trading Regulations
, safeguarding against financial crimes and unethical practices.
Audit Assistance
: Actively
assist in concurrent, internal, and statutory audits related to PMS
, providing necessary documentation, explanations, and support to ensure smooth audit processes.
Regulatory Updates
: Stay abreast of all relevant regulatory changes and updates pertaining to PMS, AIF, and Mutual Funds, and disseminate information to relevant stakeholders.

Skills

2-3 years of experience in PMS/AIF/MF compliances
.
In-depth
knowledge of SEBI PMS regulations
.
Familiarity with the
Companies Act 2013
.
Understanding of
AML/PMLA & Insider Trading regulations
.
Strong ability to develop and maintain
Compliance Manuals, Checklists, Tracking, and Reporting
systems.
Excellent analytical skills and attention to detail.
Strong communication skills, both written and verbal.

Qualifications

Bachelor's degree in Law, Finance, Commerce, or a related field.
Proven experience in a compliance role within the Portfolio Management Services, Alternative Investment Funds, or Mutual Funds sector.
Relevant professional certifications (e.g., NISM certifications) are a plus.

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