Compliance Officer

1 day ago

Mumbai, Maharashtra, India SKS Enterpprises Full time ₹ 12,00,000 - ₹ 24,00,000 per year

Position Name - Compliance Officer - PMS

Location - BKC,Mumbai

Experience Range - 5+ yrs

Mandatory 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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