Job Description – Compliance Officer (SEBI Registered PMS)

Qualification: LLB / CA / CS / MBA
Experience: 2+ years
Office Location: Bangalore

About the Company
4thoughts Finance is a Multi-family office and Wealth Management firm that has pioneered the cause of unbiased wealth management and family office offering since 2015. Working closely with generation next leaders, the firm has a niche set of offerings which are tailor-made to suit its client's needs and requirements. The firm's activities are focused on providing wealth management, advisory on cross-border structures and transactions, advisory on business structuring, sourcing, and converting domestic as well as cross-border investment banking deals. We are currently expanding our investment platform with the launch of our own Portfolio Management Services (PMS), As part of this strategic expansion, we are looking for a Compliance Officer to help establish and oversee our regulatory and compliance framework for the PMS business.

About the Role





We are looking for an experienced and detail-oriented Compliance Officer to oversee regulatory compliance for our SEBI-registered Portfolio Management Services (PMS) business. The ideal candidate should possess a robust understanding of SEBI regulations and have hands-on experience managing compliance functions within the Indian capital markets ecosystem.

Key Responsibilities

· Ensure compliance with all applicable SEBI regulations governing Portfolio Management Services (PMS).

· Monitor and implement regulatory changes issued by SEBI, AMFI, Exchanges, Depositories, and other regulatory authorities.

· Prepare, review, and file all periodic and event-based regulatory reports, disclosures, and submissions with SEBI and other regulators within prescribed timelines.

· Develop, implement, and maintain compliance policies, procedures, and internal controls.

· Conduct compliance reviews and monitor adherence to internal policies and regulatory requirements.

· Coordi

📌 Compliance Officer (Bengaluru)
🏢 4TF Services
📍 Bengaluru