PMS Compliance Manager

3 weeks ago

Mumbai, India Stallion Asset Full time

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.

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