Senior Compliance Consultant – SEBI PMS & AIF Compliances

Experience Required: 3+ years in SEBI compliance, with hands-on experience in PMS & AIF regulations

Key Responsibilities:

Advisory on SEBI Registration:

• Guide in preparing and filing SEBI registration applications for PMS and/or AIF (Category I/II/III as applicable).
• Assist with drafting or reviewing the Private Placement Memorandum (PPM), disclosures, and agreements.
• Liaise with SEBI or help the company’s legal team in handling queries during the registration process.

Compliance Framework Setup:

• Design and implement an internal compliance structure tailored to a startup environment.
• Develop SOPs, checklists, and templates for regular compliance reporting and record-keeping.
• Assist in selecting and training the in-house compliance officer, if required.

Regulatory Monitoring & Guidance:

• Advise on ongoing regulatory developments and SEBI circulars related to PMS and AIFs.
• Set up a calendar for regulatory filings and help the team establish early compliance discipline.
• Ensure proper investor documentation, onboarding compliance (KYC, FATCA), and disclosure processes.

Operational & Risk Advisory:

• Provide guidance on permitted investment strategies, leverage norms, valuation policies, and fund governance.
• Help draft internal policies including Code of Conduct, Insider Trading Prevention Policy, and Risk Management Framework.

Qualifications:

• Minimum 3+ years of relevant experience in SEBI compliance, preferably in a PMS/AIF setup or consultancy.
• In-depth knowledge of SEBI (Portfolio Managers) Regulations, 2020 and SEBI (AIF) Regulations, 2012.
• Strong understanding of fund structures, regulatory filings, and inspection preparedness.
• Ability to simplify complex regulations for startup founders and non-compliance teams.
• CA / LLB / CS / CFA / MBA (Finance) or equivalent qualification preferred.

Preferred Traits:

• Entrepreneurial mindset with a practical, solutions-oriented approach.
• Ability to work independently with minimal supervision.
• Prior experience working with startups, boutique funds, or first-time fund managers is a strong plus.

Job Type: Full-time

Pay: ₹249,995.32 - ₹1,477,649.33 per year

Benefits:

• Health insurance

Schedule:

• Monday to Friday

Work Location: In person