Job Description

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 submissions within prescribed timelines.
Maintain statutory records, documentation, and audit-ready registers for PMS activities.
Interpret and implement new SEBI circulars, guidelines, and regulatory updates with clear action plans.

Transaction & Policy Oversight

Monitor PMS transactions to ensure execution in line with regulatory guidelines and internal SOPs.
Review disclosure documents, KYC checks, client onboarding, and related compliance documentation.
Design, update, and monitor internal compliance policies and frameworks.

Regulatory & Internal Engagement

Act as a key liaison with SEBI and other regulators; prepare timely responses to inspection queries and compliance observations.
Provide compliance advisory to business, investment, and operations teams on day-to-day matters.
Address compliance-related queries from internal stakeholders with clarity and precision.

Risk Monitoring & Training

Review surveillance alerts, investigate anomalies, and recommend corrective measures.
Conduct employee awareness and training sessions on compliance, AML, insider trading, and related regulatory topics.
Support internal audits and ensure timely closure of compliance gaps.

Candidate Profile

Experience:

5-10 years in Compliance or Regulatory functions within Portfolio Management Services, Asset Management, or Wealth Management.

Knowledge:

In-depth understanding of SEBI regulations governing PMS, AML guidelines, and related compliance frameworks.

Skills:

Strong analytical and problem-solving skills with the ability to interpret and implement regulatory updates.

Communication:

Excellent written and verbal communication skills; ability to engage confidently with regulators and internal leadership.

Mindset:

Detail-oriented, proactive, and able to balance business goals with regulatory obligations.

Core Competencies

SEBI & PMS Compliance
Regulatory Filings & Inspections
Compliance Policy Design & Monitoring
Stakeholder & Regulator Engagement