Portfolio Compliance Specialist

4 days ago

Mumbai, Maharashtra, India beBeeCompliance Full time ₹ 6,00,000 - ₹ 12,00,000
Compliance Specialist Role

Job Summary:

Seeking a Compliance Specialist to support the compliance function for our Portfolio Management Services, ensuring activities align with SEBI regulations and internal guidelines.

Responsibilities include working closely with the Compliance Manager to assist in regulatory filings, documentation, audits, and day-to-day compliance tasks. The ideal candidate will develop a strong foundation in regulatory frameworks.

  • Key Responsibilities:
  • Ensure compliance with SEBI PMS Regulations, Circulars & Notifications by staying informed about regulatory changes and supporting updates in internal policies.
  • Assist in drafting and maintaining compliance checklists and policy documents.
  • Support the maintenance of the Compliance Manual, Checklist, Tracking, and Reporting by updating and organising compliance manuals and tracking tools.
  • Assist in periodic internal reviews and documentation updates.
  • Help prepare regulatory reports and submissions to SEBI and APMI under the guidance of the Compliance Manager.
  • Ensure timely collation of data for accurate filings.
  • Monitor applicable provisions under the Companies Act relevant to PMS and maintain statutory registers and supporting documentation.
  • Support concurrent, internal, and statutory audits by preparing required documentation and responding to audit queries.
  • Follow up on audit observations and support implementation of corrective actions.

Required Skills and Qualifications:

The ideal candidate will possess a CS degree, preferably with a strong academic record. They should have 0–2 years of experience in compliance roles, preferably in the PMS/AIF/MF domain. Key skills include:

  • A strong academic foundation with good understanding of regulatory frameworks.
  • The ability to grasp and interpret SEBI and Companies Act regulations.
  • Strong drafting, documentation, and organisational skills.
  • High level of ownership, attention to detail, and professionalism.
  • Strong communication and interpersonal skills, with the ability to work collaboratively.

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