Compliance Manager- PMS
1 week ago
Our client, a SEBI-registered Portfolio Management Service (PMS) firm, is looking for a Compliance Manager to drive its regulatory, governance, and risk framework.
What Youll Do:
- Ensure full compliance with SEBI PMS Regulations, Circulars, and other statutory requirements.
- Manage SEBI filings, audits, and inspections with precision.
- Establish and monitor internal compliance policies, SOPs, and investment guideline checks.
- Oversee client onboarding, AML/KYC reviews, and SEBI SCORES compliance.
- Liaise with SEBI/APMI and act as the firms compliance point of contact.
- Partner with leadership to strengthen a culture of compliance and governance.
What We're Looking For:
- Experience: 5–8 years in Compliance/Legal roles within PMS, AIF, Mutual Funds, Broking, or Wealth Management.
- Qualification: CA/CS/LLB/MBA (Finance/Law) preferred; NISM certifications desirable.
- Proven experience in SEBI filings and regulatory audits.
- Deep understanding of SEBI PMS Regulations, AML/KYC norms, and securities market laws.
- Strong documentation, analytical, and communication skills.
Why Join Us:
- Build and lead compliance in a growing PMS platform.
- Work closely with senior leadership and decision-makers.
- Competitive pay + performance incentives.
Transparent, collaborative, and balanced work culture.
Location: Bengaluru & Mumbai
To apply, share your profile at and complete application using below link-
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