Company: Confidential – Financial Services Firm

Location: Mumbai

Experience: 2-4 years

Function: Compliance / Regulatory Affairs

Employment Type: Full-time

About the Prospect

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 environment.

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 systems.
- Identify potential compliance gaps and ensure timely escalation and resolution.

Candidate Profile
- 2-4 years of relevant compliance experience within financial services/securities markets.
- Exposure to PMS, AIF, AMC, wealth management, stock exchanges, securities intermediaries or other SEBI-regulated entities preferred.
- Good working knowledge of SEBI regulations and securities-market compliance .
- Understanding of regulatory filings, compliance monitoring, KYC/AML and documentation requirements.
- Direct PMS compliance experience would be highly preferred.
- Exposure to PMS setup/registration would be an added advantage.
- Experience supporting regulatory audits/inspections would be beneficial.
- Strong documentation and analytical skills.
- Ability to interpret regulations and translate them into practical processes.
- Strong attention to detail and ability to manage regulatory timelines.
- Comfortable working closely with senior management and multiple stakeholders.

Preferred Qualifications
- NISM Series III-A – Securities Intermediaries Compliance (Non-Fund) Certification
- Company Secretary (CS) and/or LL.B.
- Relevant bachelor's/master's qualification in Law, Finance, Commerce, Business or related areas
- Experience with a PMS/AIF/AMC or SEBI-regulated financial-services organisation will be preferred.

Ideal Candidate We are particularly interested in someone who has hands-on SEBI compliance experience and wants the opportunity to contribute to building a PMS compliance function rather than only managing established processes.

The successful candidate should be execution-oriented, detail-focused and comfortable taking ownership , while working closely with business, investment, operations, legal and technology teams.

Note: Company details will be shared with shortlisted candidates during the recruitment process.

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