Compliance Officer

16 hours ago

Mumbai Metropolitan Region, India Dolat Capital Full time

Title: Compliance Officer- PMS.

  • Department / Group: Portfolio Management Services.
  • Location: Mumbai.
  • Level: Company Secretary.

About Dolat Capital
Dolat Capital Group has established itself as a prominent player in the Indian financial landscape, boasting over two decades of excellence in the institutional equities domain.

Our journey has been marked by an unwavering commitment to providing superior financial services and insightful market analyses.

Data Analytics and Research Team: An integral part of Dolat Capital, our Data Analytics and Research Team specializes in conducting meticulous sector analyses that empower our clients with actionable insights.

We believe that well-informed decisions are the bedrock of success in the financial markets, and our research plays a pivotal role in shaping those decisions.

Market Specialization: Our expertise extends to the niche domain of Indian mid-caps and derivative segments.

This specialization uniquely positions us to guide institutional clients in effectively positioning their portfolios and generating alpha for their esteemed investors.

AIF & Stated Wealth Management: In addition to our core strengths, we also offer services in Alternative Investment Funds (AIF) and Stated Wealth Management.

These services enable us to provide holistic financial solutions that cater to a wide spectrum of client requirements.

Our commitment to delivering value extends beyond traditional avenues, making us a comprehensive partner in financial success.

Job Summary
We are seeking a Compliance Officer- PMS with a background in corporate secretarial practice and a strong command over PMS regulatory frameworks.

The role focuses on ensuring 100% compliance with SEBI regulations, managing audits, and handling regular and event-based filings on MCA and SEBI portals.

The ideal candidate will bring prior experience in Portfolio Management Services (PMS) compliance (post-qualification) and be adept at handling end-to-end regulatory obligations.

Prior Experience
Post qualification experience in handling PMS Compliance (no internship Ensure timely and accurate regulatory filings under SEBI PMS Regulations.

  • Prepare, file, and track compliance submissions on MCA and SEBI portals, including LLP filings.
  • Independently handle SEBI audits related to PMS operations.
  • Ensure continuous compliance with secretarial obligations under the Companies Act, 2013.
  • Maintain records and documentation in alignment with internal policies and statutory mandates.
  • Liaise with internal teams and auditors for regulatory queries and reporting.
  • Keep updated with any changes in SEBI, MCA, and PMS regulations and ensure timely MS Office (Excel, Word, PowerPoint, etc.
  • Analytical skills (compliance tracking and reporting.
  • Critical Thinking.
  • Problem Solving.

Technical Skills

  • Proficiency in using SEBI SI portals.
  • MCA Portals.
  • LLP Company Secretary (The Institute of Company Secretaries of India).
  • Minimum 2-years of Post qualification experience in handling PMS Compliance.
  • Core Knowledge of PMS Regulatory filings and compliances and handling SEBI Audits.

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