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 strong 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 ensure adherence to applicable laws.

Desired Candidate Profile
- 10–15 years of relevant experience in Compliance within Wealth Management, Asset Management, PMS, AIF, Mutual Funds, or other SEBI-regulated financial services.
- Robust understanding of:
- SEBI Regulations applicable to PMS, AIF, Mutual Funds, RIA, and Research Analyst.
- Working knowledge of Corporate Law, Contract Law, FEMA, and Stamping & Registration requirements
- Hands-on experience in managing regulatory filings, inspections, audits, and compliance reporting.
- Strong ability to interpret regulations and provide practical compliance guidance to business teams.
- Excellent analytical, documentation, and stakeholder management skills.
- High attention to detail with the ability to identify regulatory and compliance risks.
- Proficient in Microsoft Excel and Microsoft Word.
- Ability to work independently in a energetic and fast-paced environment.

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