Compliance (wealth Management)

This role is for one of Weekday s clients Min Experience 3 years Location Mumbai JobType full-time Requirements We are looking for a highly motivated and detail-oriented Compliance Professional with at least 3 years of experience in compliance and company secretarial functions preferably within the financial services or wealth management sector The role involves overseeing compliance aspects across Investment Advisory RIA Distribution and Non-Discretionary Portfolio Management Services ND PMS The ideal candidate will ensure that all regulatory requirements are met in a timely and accurate manner while maintaining a strong governance framework This role demands strong knowledge of SEBI AMFI and other applicable regulatory frameworks hands-on experience in company secretarial work and the ability to liaise effectively with internal teams regulators and external advisors The candidate will be a key partner in supporting business growth while safeguarding the organization s integrity compliance and ethical standards Key Responsibilities Regulatory Compliance Filings Ensure all statutory filings and regulatory submissions are completed accurately and on time Maintain updated records of compliance activities approvals and reporting requirements Track regulatory deadlines and ensure compliance calendars are adhered to Policy Regulatory Updates Review update and maintain internal compliance policies in line with evolving regulatory requirements Interpret new SEBI AMFI circulars and guidelines communicate changes to relevant teams and ensure effective implementation Transaction Advisory Oversight Ensure that all Investment Advisory Distribution and ND PMS transactions are executed in compliance with regulatory frameworks Provide guidance to teams to align practices with statutory and regulatory expectations Regulatory Audit Engagement Build and maintain strong relationships with regulators Manage the firm s responses to inspections audits and regulatory observations Ensure internal and external audits are completed on time and findings are addressed Compliance Support Documentation Provide compliance opinions and support for day-to-day business activities Review contracts agreements and documentation to ensure regulatory and legal compliance Ensure all third-party providers have valid contractual relationships in place Training Awareness Conduct regular compliance training and updates for employees on AML Insider Trading and other key compliance areas Build awareness across Sales Advisory Product and Operations teams to ensure end-to-end compliance Governance Secretarial Work Support company secretarial responsibilities ensuring adherence to corporate governance standards Liaise with external law firms and company secretarial advisors as needed Surveillance Risk Management Monitor and review compliance alerts taking timely corrective actions Identify compliance risks proactively and recommend mitigations Skills Experience 3 years of experience in compliance preferably in wealth management investment advisory or financial services Strong knowledge of SEBI AMFI and other regulatory frameworks relevant to RIA Distribution and PMS Practical experience in company secretarial work and governance practices Hands-on experience with regulatory filings audits and inspections Excellent communication negotiation and relationship management skills Strong analytical documentation and problem-solving abilities Ability to work collaboratively across business legal and regulatory functions Qualification Company Secretary CS LLB or relevant professional degree in finance compliance preferred