Company:
Confidential – Financial Services Firm

Location:
Mumbai

Experience:
2-4 years

Function:
Compliance / Regulatory Affairs

Employment Type:
Full-time

About the Opportunity

We are hiring a
Compliance Officer
for a growing financial services firm that is in the process of
setting up its own Portfolio Management Services (PMS) business
.

The role will work closely with senior management and cross-functional teams to support the
setup, implementation, and ongoing management of the PMS compliance framework
.

We are looking for someone with hands-on exposure to
SEBI regulations, securities-market compliance or investment-management compliance
, with the ability to take ownership in a growing and evolving setting.

Key Responsibilities
- Support the
end-to-end regulatory and compliance setup of the PMS business
.
- Assist with PMS registration-related documentation, regulatory submissions and readiness.
- Ensure compliance with applicable
SEBI PMS regulations, circulars, guidelines and reporting requirements
.




- Track regulatory developments and ensure timely implementation of applicable changes.
- Maintain and monitor
compliance calendars, registers, checklists and regulatory filings
.
- Assist in developing and implementing
compliance policies, SOPs and internal controls
.
- Manage and monitor
KYC, AML, PMLA and client onboarding requirements
.
- Review client agreements, disclosures, communications and other PMS-related documentation from a compliance perspective.
- Support monitoring of investment-related regulatory requirements, conflicts of interest and internal controls.
- Coordinate with
custodians, brokers, bankers, auditors, legal advisers and other intermediaries
.
- Support regulatory inspections, internal/statutory audits and closure of compliance observations.
- Maintain appropriate documentation and audit trails for regulatory purposes.
- Work closely with operations and technology teams to incorporate compliance controls into processes and

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