Job Title: Compliance Officer - Wealth Management / SEBI Regulated Businesses

Role Summary

We are looking for a seasoned Compliance professional to independently lead regulatory and legal compliance for our SEBI-regulated wealth management businesses including PMS, AIF, RIA, RA, and Mutual Fund Distribution.

The ideal candidate will have deep expertise in SEBI regulations, hands-on experience with filings, inspections, and audits, and the ability to act as a trusted advisor to business, legal, and senior management to build a robust compliance culture.
Key Responsibilities
Independently manage regulatory and legal compliance for the Company's SEBI-regulated businesses, including Portfolio Management Services (PMS), Alternative Investment Funds (AIF), Registered Investment Adviser (RIA), Research Analyst (RA), and Mutual Fund Distribution (MFD).
Interpret SEBI regulations, circulars, and regulatory updates, and drive implementation across business functions.
Ensure timely completion of regulatory filings, statutory submissions, periodic reports, and disclosures.




Maintain statutory records, compliance registers, documentation, and audit trails in accordance with regulatory requirements.
Review agreements, investor documentation, business contracts, and operational documents from a regulatory and legal compliance perspective.
Provide legal and compliance support for new business initiatives, product launches, corporate transactions, and operational changes.
Coordinate and manage SEBI inspections, regulatory audits, internal audits, and compliance reviews, including timely closure of observations.
Work closely with Business, Operations, Legal, Risk, and Senior Management to strengthen governance, internal controls, and compliance processes.
Develop, review, and update compliance policies, SOPs, and internal governance frameworks. Identify gaps and recommend corrective actions
Identify compliance gaps, assess regulatory risks, and recommend corrective actions to ensur

📌 Compliance Officer (India)
🏢 Systematix Private Wealth
📍 India