Compliance Manager

23 hours ago

Gurgaon, Haryana, India TheHireHub Full time ₹ 9,00,000 - ₹ 12,00,000 per year

Compliance Manager

Location:
Gurugram

Experience:
between 3-6 years

Posted by:
Athena Executive Search and Consulting (on behalf of our client)

About the Organization

Our client is a new-age, India-focused investment advisory and Portfolio Management Services (PMS) firm. It exclusively invests in high-quality listed Indian companies led by honest, competent executives, and aims for long-term absolute risk-adjusted returns by buying at prices that offer a margin of safety.

The firm claims a cumulative track record since November 2019 of delivering a ~56% IRR versus ~29% IRR for BSE 500. The team brings extensive investment experience from leading Indian private equity firms and has previously delivered over 3× returns on a corpus of ~$100 million under their personal advice.

Role Summary

We are looking to hire a mid-level
Compliance and Operations Manager
. The person should have a minimum of
3 years of experience in managing compliance and operations
of a
Portfolio Management Services (PMS)/AIF/Mutual Fund
in India. The role requires working from the Gurgaon office. Permanent work-from-home is not offered as a working arrangement.

Job Expectations

  1. Oversee the
    end-to-end SEBI compliance requirements of a PMS.
  2. Responsible for timely preparation and submission of all documents to SEBI and other stakeholders such as APMI.
  3. Ensure proper KYC compliance of all PMS clients.
  4. Be hands-on in execution and enablement of all SEBI PMS policies.
  5. Lead the annual PMS compliance audit and liaise with PMS auditors to ensure smooth and timely completion.
  6. Ensure all SEBI-mandated processes such as AML, SCOREs, Insider Trading, and Website compliance are adhered to.
  7. Reach out to clients for compliance requirements when necessary.
  8. Possess excellent verbal and written communication skills.
  9. Work effectively in a small team, acting as an individual contributor with an ownership mindset.

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