Role Overview:

Experienced Compliance Skilled with extensive expertise in regulatory compliance, governance, risk management, and legal oversight across Portfolio Management Services (PMS), Investment

Advisory (IA), Research Analyst (RA), and Asset Management businesses. Proven track record of establishing robust compliance frameworks, managing regulatory relationships, driving governance

initiatives, and ensuring adherence to SEBI regulations and industry best practices.

Key Responsibilities:
- Headed the Compliance function for SEBI-regulated entities engaged in PMS, Investment Advisory, Research Analyst, Mutual Fund Distribution, and Asset Management activities.
- Acted as the principal compliance advisor to senior management and the Board on regulatory, governance, risk management, and conduct-related matters.
- Ensured end-to-end compliance with SEBI (Portfolio Managers) Regulations, SEBI (Investment Advisers) Regulations, SEBI (Research Analysts) Regulations, SEBI (PIT) Regulations, PMLA requirements, and applicable SEBI Master Circulars.
- Led regulatory licensing,



registration amendments, strategy approvals, disclosure document updates, and regulatory filings for PMS, IA, and RA businesses.
- Designed, implemented, and periodically reviewed Written Down Policies (WDPs), AML/CFT Policies, Insider Trading Code of Conduct, Conflict Management Frameworks, Suitability Frameworks, Cybersecurity Policies, Business Continuity Plans, and Governance Policies.
- Established and monitored Chinese Wall controls between Investment Advisory and Research Analyst businesses and implemented conflict-of-interest management frameworks across regulated activities.
- Managed regulatory interactions with SEBI, stock exchanges, AMFI, KRAs, depositories, auditors, legal advisors, and technology partners.
- Led SEBI inspections, thematic reviews, internal audits, compliance audits, cyber security audits (CSCRF), and regulatory certifications, ensuring timely closure of obser

📌 Compliance Manager (Mumbai)
🏢 Mentra HR Services
📍 Mumbai