Role Summary The role involves independently managing regulatory and legal compliance for the Company’s SEBI-regulated businesses, including Portfolio Management Services (PMS), Alternative Investment Funds (AIF) and Mutual Fund Distribution (MFD). The position requires strong regulatory interpretation skills, hands-on experience with filings, audits and inspections, and the ability to partner with business teams to strengthen governance frameworks.What are you expected to do? ● Manage and oversee compliance under SEBI regulations applicable to PMS, AIF and MFD ● Monitor regulatory developments, analyse circulars and drive implementation across business functions ● Ensure timely completion of regulatory filings, periodic reports and disclosures ● Oversee maintenance of statutory records, compliance registers and audit trails ● Review and vet agreements, investor documentation and business contracts from a regulatory and legal perspective ● Provide legal and compliance support for corporate transactions, new products and operational initiatives ● Coordinate and manage SEBI inspections, internal audits and compliance reviews,



including closure of observations ● Partner with internal stakeholders to strengthen governance, risk controls and compliance processes ● Support development and periodic review of policies, SOPs and internal compliance frameworks What are we looking for? ● 5-7 years of relevant experience in SEBI-regulated financial services (PMS, AIF, asset management or wealth) ● Strong working knowledge of: ● SEBI regulations relating to PMS, AIF , RIA, RA and Mutual Funds ● Corporate and Contract Laws ● FEMA, stamping and registration requirements ● Experience in handling regulatory filings, audits or inspections ● Ability to interpret regulations and provide practical guidance to business teams ● Strong organisational skills and ability to manage multiple assignments and deadlines ● Proficiency in Microsoft Word and Excel ● Robust attention to detail and ability to identify compliance gaps or risks ● Effective communication and stakeholder management skills ● Ability to work independently in a fast-paced, regulated environment

📌 Compliance Manager (Mumbai)
🏢 Company name
📍 Mumbai