AIF/PMS compliance

2 days ago

Mumbai, Maharashtra, India Weekday AI Full time

This role is for one of the Weekday's clients

Salary range: Rs Rs ie INR 20-30 LPA)

Min Experience: 2 years

Location: Mumbai

JobType: full-time

As an AIF/PMS Compliance Professional, you will play a critical role in ensuring regulatory integrity and governance across alternative investment and portfolio management operations. This is a senior-facing position with direct responsibility for maintaining compliance with SEBI regulations applicable to Alternative Investment Funds (AIFs)and Portfolio Management Services (PMS). The role requires a strong understanding of India's regulatory framework, hands-on compliance execution, and the ability to act as a trusted advisor to senior management.

Requirements

Key Responsibilities
  • Oversee end-to-end compliance for AIF and PMS structures, ensuring adherence to SEBI regulations, circulars, guidelines, and periodic updates.
  • Act as the primary point of contact for compliance matters, including interaction with regulators, auditors, trustees, custodians, and internal stakeholders.
  • Prepare, review, and file all statutory and regulatory reports, disclosures, and filings within defined timelines.
  • Monitor regulatory developments and proactively assess their impact on existing processes, recommending and implementing necessary changes.
  • Support the role of Chief Compliance Officer (CCO) by strengthening governance frameworks, compliance policies, and internal controls.
  • Conduct regular compliance checks, internal reviews, and audits to identify gaps, risks, and improvement areas.
  • Ensure accurate maintenance of compliance records, registers, and documentation as per regulatory requirements.
  • Provide guidance to business and investment teams on compliance-related queries, approvals, and best practices.
  • Assist in handling regulatory inspections, audits, and any compliance-related escalations or observations.
  • Promote a strong culture of compliance, ethics, and regulatory awareness across the organization.
What Makes You a Great Fit
  • Minimum 2+ years of hands-on experience in AIF and/or PMS compliance, with strong exposure to SEBI regulations.
  • Proven understanding of compliance frameworks, regulatory filings, disclosures, and governance requirements within the investment management ecosystem.
  • Experience working closely with senior leadership, fund managers, auditors, and regulatory bodies.
  • Strong analytical skills with the ability to interpret regulations and translate them into actionable compliance processes.
  • High attention to detail, excellent documentation skills, and the ability to manage multiple compliance timelines effectively.
  • Confident communicator with the ability to present compliance matters clearly to internal and external stakeholders.
  • Professional integrity, discretion, and sound judgment in handling sensitive regulatory and business information.
  • Ability to work independently, take ownership, and thrive in a high-responsibility, high-impact role.

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