Compliance Manager

3 days ago

Mumbai, India Weekday AI Full time

This role is for one of the Weekday's clients

Salary range: Rs Rs ie INR 2-10 LPA)Location: Mumbai

JobType: full-time

Requirements
Key Responsibilities
  • Manage all compliance aspects of Portfolio Management Services (PMS) in line with regulatory requirements.
  • Review and ensure timely submission of all regulatory filings and submissions, while maintaining accurate records.
  • Regularly update and monitor adherence to compliance policies.
  • Review, analyze, and implement new regulatory circulars; guide internal teams, create implementation plans, and ensure timely execution.
  • Oversee PMS transactions to ensure they are executed as per SEBI regulations and prescribed timelines.
  • Build and manage strong relationships with regulators, supporting responses to regulatory inspections and observations.
  • Provide compliance opinions and guidance on day-to-day matters, including review of disclosure documents, KYCs, and regulatory requirements.
  • Ensure timely completion of inspections and address compliance observations effectively.
  • Handle internal customer queries promptly, ensuring compliance-related concerns are addressed.
  • Conduct employee training sessions on compliance, AML, insider trading, and other regulatory matters.
  • Review surveillance alerts, investigate concerns, and take corrective action where required.
Required Skills & Expertise
  • Strong knowledge of SEBI regulations and compliance requirements for Portfolio Management Services (PMS).
  • Proven experience in handling compliance, regulatory filings, and inspections.
  • Expertise in compliance policy implementation and monitoring.
  • Strong communication, analytical, and stakeholder management skills.
Core Skills
  • SEBI Compliance
  • PMS Operations
  • Regulatory Compliance

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