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.
Role & responsibilities 1. Client Relationship Management Act as the primary point of contact for clients for account opening, PMS operations, and service-related queries. Build and maintain strong client relationships by understanding their needs and providing customized solutions. Address and resolve client queries and issues promptly and professionally. 2. Account Opening & Maintenance Oversee the complete account opening process (documentation, compliance checks, system entries). Ensure accounts are set up in line with SEBI PMS regulations and company policies. Regularly update client accounts for changes in information or investment preferences. 3. Operational Efficiency Coordinate across investment, compliance, and operations teams for smooth PMS execution. Conduct internal checks and audits to improve account opening and servicing processes. Maintain accurate records of client interactions, documentation, and transactions. 4. Reporting & Analysis Prepare reports on account status, operational metrics, and client servicing performance for management. Track client feedback and operational KPIs to implement continuous improvements. Preferred candidate profile Experience : 3-6 years in client servicing/operations within PMS, AIF, Mutual Funds, or Broking industry. Education : Graduate/Postgraduate in Finance, Business Administration, or related field. Knowledge : Strong understanding of PMS operations, onboarding, compliance, and KYC/AML processes. Skills Excellent communication & interpersonal skills. Proficiency in MS Office, CRM systems, and digital onboarding tools. Strong organizational and problem-solving abilities. Ability to handle multiple tasks in a high-pressure environment. Mindset : Client-first approach, detail-oriented, proactive, and team player.
Role & Responsibilities As a PMS Compliance Manager at Stallion Asset, you will be responsible for ensuring complete adherence to SEBI PMS Regulations and other applicable laws. This role requires close collaboration with the Investment, Operations, and Sales teams to ensure regulatory compliance, timely filings, and robust internal processes. You will also be expected to handle audits, client/distributor documentation, and oversee AML/PMLA & Insider Trading compliances. Key Responsibilities Monitor and implement SEBI PMS Regulations, circulars, and notifications. Develop and maintain compliance policies, manuals, checklists, and reporting mechanisms. Ensure timely and accurate regulatory filings with SEBI and APMI. Ensure compliance with provisions of the Companies Act, 2013. Support concurrent, internal, and statutory audits. Oversee AML/PMLA & Insider Trading compliances including training and awareness sessions. Manage client and distributor documentation and onboarding from a compliance perspective. Preferred Candidate Profile Experience : 3-5 years of hands-on experience in Compliance functions within PMS, AIF, or Mutual Fund firms. Education : Company Secretary (CS) and/or Law Graduate (LLB/LLM) with strong understanding of financial regulations. Familiarity with SEBI PMS Regulations, Companies Act 2013, AML/PMLA guidelines, and Insider Trading Regulations. Prior experience in regulatory filings, audits, inspections, and client/distributor compliance checks. Strong analytical and drafting skills with the ability to interpret complex regulations and provide clear guidance. Detail-oriented, proactive, and self-driven professional who can work independently as well as in cross-functional teams. High level of integrity, accountability, and ownership, with the ability to manage sensitive compliance matters confidentially. Good communication skills to interact effectively with regulators, auditors, and internal stakeholders.
Role & responsibilities People Management Act as the primary point of contact for all employee-related matters. Drive employee engagement initiatives to foster a positive and motivating workplace culture. Handle grievances, conflict resolution, and provide employee counselling to ensure satisfaction and retention. Policy & Compliance Ensure compliance with HR policies and Indian labour laws. Conduct regular audits and checks for adherence to policies. Recommend updates and improvements to HR policies as required. Recruitment & Onboarding Manage the end-to-end recruitment process, including sourcing, interviewing, and hiring. Design and implement structured onboarding programs for smooth integration of new employees. Performance Management Implement and oversee the companys performance appraisal process. Provide guidance to managers and employees on effective performance evaluations and feedback. Training & Development Identify skill gaps and organize training and development programs. Foster a culture of continuous learning, upskilling, and career growth. Employee Benefits & Insurance Administer and manage employee insurance policies (health, accident, etc.). Liaise with insurance providers for renewals, claims, and employee queries. Ensure timely documentation and communication of employee benefits. HR Operations Maintain accurate employee records and HR databases. Oversee payroll processing, attendance, and leave management. Ensure compliance with statutory and regulatory requirements. Preferred candidate profile Education: UG: Any Graduate (Preferred BBA, BMS, BA in HRM) PG: MBA/PGDM in Human Resources (preferred) Experience: 4–5 years in HR Generalist / HR Manager roles Industry Preference: Financial Services, BFSI, FinTech, Consulting (but open to others) Desired Skills: Strong interpersonal & communication skills Knowledge of Indian Labour Laws Ability to handle confidential/sensitive matters Hands-on experience with HRMS systems Prior experience in employee insurance administration