Compliance Officer

2 days ago

Mumbai, Maharashtra, India Weekday AI Full time ₹ 1,20,00,000 - ₹ 2,00,00,000 per year

This role is for one of the Weekday's clients

Salary range: Rs Rs ie INR 12-20 LPA)Min Experience: 5 years

Location: Mumbai

JobType: full-time

We are seeking an experienced professional to manage and oversee compliance activities under SEBI AIF and PMS Regulations. The ideal candidate will be responsible for ensuring end-to-end regulatory adherence, handling SEBI interactions, and maintaining seamless coordination across stakeholders to ensure smooth compliance operations.

Requirements
Key Responsibilities
  • Manage SEBI registration and scheme launch applications under AIF and PMS regulations, and resolve queries raised by SEBI.
  • Handle complete compliance management under SEBI AIF Regulations, including quarterly, half-yearly, and annual filings with SEBI, Trustees, and Investors.
  • Collaborate with stakeholders such as Trustees, Auditors, Investors, RTAs, Custodians, and others to ensure timely compliance and reporting.
  • File applications and obtain registrations for LEI, CVLKRA, CAM KRA, FIU-India, and other related schemes.
  • Oversee investor onboarding and channel partner/distributor registration processes.
  • Implement changes as per regulatory updates in coordination with internal departments.
  • Manage full compliance for Portfolio Management Services (PMS) operations.
  • Support internal and external audits and facilitate regulatory inspections for AIF and PMS.
  • Conduct and document Investment Committee Meetings as required.
  • Draft, update, and implement internal policies and operational frameworks in line with AIF and PMS guidelines.
  • Coordinate with the Legal team for vetting and reviewing legal documents.
  • Handle compliance matters related to change in registered office and other statutory updates.
  • Ensure regulatory compliance across all AIF schemes and PMS activities.
  • Advise business leaders on compliance implications of transactions, focusing on SEBI and other regulatory requirements, including KYC, trades, settlements, resolutions, and reporting.
  • Draft and maintain compliance manuals and business process policies covering multiple regulatory aspects.
  • Facilitate regulatory audits and ensure adherence to all financial and legal obligations.
  • Oversee compliance in the development and use of specialized financial structures, and coordinate with external advisors, law firms, and company secretarial firms.
  • Independently conduct Board, Shareholder, and Committee meetings, including drafting of notices, agendas, and minutes.
  • Manage company incorporation processes and drafting of Articles and Memorandum of Association.

Skills:

AIF & PMS Regulations · SEBI Compliance · Regulatory Filings · Legal Liaison · Secretarial Compliance · Audit Coordination · Policy Drafting · Investor Onboarding

  • Compliance Officer

    2 weeks ago

    Mumbai, Maharashtra, India SKS Enterpprises - Human Resource Planning and Management Full time ₹ 6,00,000 - ₹ 18,00,000 per year

    Job Title:Compliance Officer – AIF/PMSLocation:Mumbai (Andheri)Experience Required:6–7 yearsAbout the Role:We are looking for an experienced Compliance Officer to manage and oversee compliance for our Alternative Investment Fund (AIF) and Portfolio Management Services (PMS) business. The role involves ensuring adherence to SEBI regulations, internal...

  • Compliance Officer

    6 days ago

    Mumbai, Maharashtra, India Equirus Full time ₹ 5,00,000 - ₹ 15,00,000 per year

    Job Description:About EquirusAbout Equirus WealthEquirus is a leading mid‐market investment bank with strong practices around M&A, PE, Capital Markets, Institutional Equities, Wealth Management, Insurance Broking, and Portfolio Management Services.For more details you can visit us at Equirus Wealth is a holistic Wealth Management platform founded in 2018...

  • Compliance Officer

    4 hours ago

    Mumbai, Maharashtra, India SKS Enterpprises Full time ₹ 12,00,000 - ₹ 36,00,000 per year

    Position Name - Compliance Officer - PMSLocation - Andheri,MumbaiExperience Range - 5+ yrsMandatory 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...

  • IT Compliance Officer

    6 days ago

    Mumbai, Maharashtra, India ERGO Technology & Services Full time ₹ 12,00,000 - ₹ 24,00,000 per year

    The IT Compliance Officer reports to the Head of IT Audit Coordination APAC based in Singapore. This role sits in the sub tower which is the central point for managing all IT audits and regulatory questionnaires, both internal and external. The goal of the sub tower is to ensure a smooth and effective evaluation process by acting as the primary coordination...

  • Compliance Officer

    1 week ago

    Mumbai, Maharashtra, India Weekday AI Full time ₹ 12,00,000 - ₹ 2,00,00,000 per year

    This role is for one of the Weekday's clientsSalary range: Rs Rs ie INR 12-20 LPA)Min Experience: 5 yearsLocation: MumbaiJobType: full-timeWe are seeking an experienced professional to manage and oversee compliance activities under SEBI AIF and PMS Regulations. The ideal candidate will be responsible for ensuring end-to-end regulatory adherence, handling...

  • Compliance Officer

    2 weeks ago

    Mumbai, Maharashtra, India SKS Enterpprises - Human Resource Planning and Management Full time ₹ 4,00,000 - ₹ 12,00,000 per year

    Position Name -Compliance OfficerLocation -MumbaiExperience Range -5 to 8 yearsJob Roles and Responsibilities:The role involves end-to-end responsibility for fund administration, investor servicing, compliance, and coordination with key stakeholders for Indias leading early-stage Angel fund(s).The position requires strong regulatory understanding, financial...

  • Compliance Officer

    6 hours ago

    Mumbai, Maharashtra, India SKS Enterpprises Full time ₹ 12,00,000 - ₹ 36,00,000 per year

    Position Name - Compliance OfficerLocation - MumbaiExperience Range - 5 to 8 yearsJob Roles and Responsibilities:The role involves end-to-end responsibility for fund administration, investor servicing, compliance, and coordination with key stakeholders for Indias leading early-stage Angel fund(s).The position requires strong regulatory understanding,...

  • Compliance Officer

    2 weeks ago

    Mumbai, Maharashtra, India Permanent Solution Full time ₹ 10,00,000 - ₹ 12,00,000 per year

    Opportunity to work with a leading stock broking firm in Mumbai, Andheri East.Experience Required:● 5+ years of experience as a Compliance Officer in a stock broking firm or financial services company. (Mandatory to have experience in Stock Broking business)● Proven track record of managing regulatory compliance and dealing with SEBI inspections.●...

  • Compliance Officer

    1 week ago

    Mumbai, Maharashtra, India Systematix Shares & Stocks Full time ₹ 40,00,000 - ₹ 1,20,00,000 per year

    Role & responsibilitiesTo implement Exchange/SEBI/CDSL circular & guidelinesAssisting in Handling SEBI / Exchange Inspections & Internal AuditConducting AP and Branch InspectionsAssisting in any ongoing regulatory mattersTracking of the service related communicationsLiaison with exchanges/CDSL/SEBITracking regulatory submissions and assisting in arranging...

  • Safety And Compliance Officer

    2 weeks ago

    Mumbai, Maharashtra, India Sky High Airport Services Private Limited Full time ₹ 4,00,000 - ₹ 12,00,000 per year

    Company DescriptionSky High Airport Services Private Limited is a leading provider of aviation services, renowned for its quality, efficiency, and innovation. Trusted by airlines, airports, cargo communities, and passengers worldwide, Sky High is driven by a passion for excellence and a commitment to safety, sustainability, and customer satisfaction. The...