Compliance Officer

1 day ago

mumbai, India SKS Enterpprises Full time

Position Name - Compliance Officer - PMSLocation - BKC,MumbaiExperience Range - 5+ yrsMandatory Requirement:Manage Compliance aspects of Portfolio Management Services.Job Roles and Responsibilities:Ensure compliance with SEBI (Portfolio Managers) Regulations, 2020, and other applicable laws.Monitor and implement changes in SEBI circulars, PMS regulatory updates, and internal policies.Review client onboarding, KYC/AML documentation, and investment agreements.Prepare and file regulatory reports, returns, and disclosures to SEBI and exchanges on a periodic basis.Maintain records and ensure adherence to compliance checklists and audit requirements.Conduct compliance testing, internal audits, and monitoring of portfolio transactions.Coordinate with external auditors, custodians, fund accountants, and operations teams.Provide compliance training and guidance to investment, operations, and sales teams.Handle SEBI inspections, correspondence, and ensure timely resolution of observations.Assist management in maintaining high standards of corporate governance and regulatory discipline.Qualification and Experience:Graduate / Postgraduate in Commerce, Law, or Finance; additional qualifications like CS / CFA / LLB preferred.Minimum 5–10 years of experience in Compliance within PMS, AIF, Mutual Fund, or NBFC sectors.Strong knowledge of SEBI PMS Regulations, Companies Act, and related compliance frameworks.Excellent attention to detail, documentation, and regulatory interpretation skills.Strong interpersonal and communication skills for coordination with internal and external stakeholders.Key Skills:SEBI Compliance | PMS Regulations | AIF / Fund Compliance | Regulatory Reporting | KYC/AML | Audit Coordination | Governance    

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