Compliance Manager

3 days ago

Mumbai, India Weekday AI Full time

This role is for one of the Weekday's clients

Salary range: Rs 200000 - Rs 1000000 (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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