Compliance Manager

19 hours ago

Mumbai, India Equitymaster Research Private Limited Full time

About Us

At  PersonalFN , a brand under Quantum Information Services, we are committed to providing unbiased, transparent, and well-researched financial advice to our clients. To strengthen this mission, we are looking for a  Compliance Manager  who will ensure that our advisory operations strictly adhere to all regulatory requirements while upholding the highest ethical standards.

Role Overview

As the Compliance Officer, you will be responsible for overseeing the organisation’s compliance with  SEBI Investment Advisers Regulations, 2013 ,  SEBI Research Analysts Regulations, 2014 ,  AMFI guidelines , and other relevant statutory requirements. You will ensure that PersonalFN’s processes, documentation, and interactions with clients meet both legal obligations and internal compliance standards.

Your goal will be to safeguard the organisation’s integrity by managing risks, preventing non-compliance, and fostering a culture of accountability and transparency.

Key Responsibilities

  • Monitor and ensure compliance with SEBI, AMFI, MCA/ROC, and other applicable regulations.
  • Draft, review, and update internal compliance policies and procedures.
  • Conduct regular audits to identify risks, potential gaps, and non-compliance situations.
  • Prepare and submit statutory reports and filings with regulatory bodies in a timely manner.
  • Advise management on emerging regulatory developments and their business impact.
  • Conduct training sessions to ensure employees are aware of compliance obligations.
  • Investigate and address compliance breaches; design corrective action plans where necessary.
  • Maintain accurate compliance records, registers, and documentation.
  • Serve as the internal point of contact for compliance-related queries.
  • Liaise with auditors, regulators, and legal advisors as required.

Skills & Competencies

  • Strong knowledge of SEBI IA & RA Regulations, AMFI guidelines, Companies Act, and other relevant compliance frameworks.
  • Integrity and professional ethics ability to take independent, unbiased decisions.
  • Attention to detail to spot issues that others might overlook.
  • Excellent communication skills (written and verbal) to interact effectively with management, employees, and regulators.
  • Problem-solving mindset balancing compliance requirements with business practicality.
  • Ability to work under pressure and manage multiple compliance priorities.

Requirements

  • Qualified  CS  or  LLB in Corporate Laws .
  • 3+ years of experience in compliance, preferably in the  financial services / investment advisory / asset management  sector.
  • Familiarity with SEBI and AMFI regulatory environment.

Why Join Us?

At  PersonalFN , compliance is not just a statutory obligation but the backbone of our promise of trust and transparency to clients. You will be part of a team that values ethics, discipline, and professionalism while working in a dynamic and growing industry.

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