PMS Compliance Manager

3 weeks ago

Mumbai, India ACME SERVICES PRIVATE LIMITED Full time

Job Responsibilities:

  1. Ensure compliance with SEBI PMS Regulations, Circulars & Notifications:

  2. Stay updated on regulatory developments and ensure adherence to SEBI regulations, circulars, and notifications.

  3. Develop and implement policies and procedures to ensure compliance with regulatory requirements.

  4. Conduct regular reviews to ensure ongoing compliance and address any gaps or issues.

  5. Develop and maintain Compliance Manual, Checklist, Tracking, and Reporting:

  6. Prepare and update compliance manuals, checklists, and tracking mechanisms.

  7. Conduct timely reviews to ensure that compliance documentation is accurate and up to date.

  8. Regulatory Filings:

  9. Prepare and submit regulatory filings and reports to SEBI and APMI as required by regulatory deadlines.

  10. Ensure accurate and timely submission of regulatory reports and disclosures.

  11. Ensure Statutory Compliance under Companies Act 2013:

  12. Monitor and ensure compliance with provisions of the Companies Act 2013 relevant to Portfolio Management Services.

  13. Support Audits:

  14. Assist in concurrent, internal, and statutory audits related to PMS compliance.

  15. Prepare documentation and provide necessary information to auditors.

  16. Address audit findings and implement corrective actions as needed.

  17. Assist in AML/PMLA & Insider Trading Compliance:

  18. Ensure compliance with Anti-Money Laundering (AML), Prevention of Money Laundering Act (PMLA), and Insider Trading regulations.

  19. Develop and implement policies and procedures to prevent money laundering and insider trading.

  20. Conduct training sessions for staff to increase awareness of AML/PMLA & Insider Trading regulations.

  21. Overseeing Client and Distributor Documentation:

  22. Oversee the onboarding process for PMS Clients & distributors, ensuring strict compliance with regulatory standards

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