Job Description

Job description:

Position/Role-PMS Compliance Officer

Expereince-2-3 years in PMS Compliance(Mandatory)

Job Type-Full Time

Key Responsibilities:

A.Compliance

Ensure day to day compliance with SEBI PMS regulations,circulars,and reporting requirements. Prepare and file regulatory reports(monthly,quarterly,annual) Maintain upto date compliance registers and documentation Coordinate with auditors for internal ,statutory ,and compliance audits. Monitor investment guidelines ,client mandates,and portfolio breaches Assist in drafting and reviewing compliance policies /SOPs.
Manage KYC,onboarding checks,and ensure AML/PMLA compliance

B.Operations

Coordinate with brokers,custodians and fund accountants for daily operations. Oversee trade execution confirmations,contract notes,and transaction reconciliation Verify holdings,cash balances,margins,and reconciliations Support portfolio accounting,NAV checks,and performance reporting Handle client onboarding documentation,agreements,and account opening processes Resolve operational queries from clients,custodians ,and internal teams

Required Skills&Qualifications

2 to 3 years of expereince in Portfolio Management Services (PMS) Compliance (Mandatory)*
Strong understanding of SEBI PMS Regulations ,PMLA requirements, and client onboarding norms Good Knowledge of capital markets,equities,broking operations,and settlement cycles Proficiency with MS Excel,expereince with PMS software(Wealth Spectrum/PMS Software is and advantage).Not mandatory but preferred Attention to detail,strong documentation Good Communication skills
Job Type: Full-time

Experience:

Portfolio management: 2 years (Required)
Work Location: In person

Job Type: Full-time

Pay: ₹400,000.00 - ₹750,000.00 per year

Work Location: In person