COMPLIANCE EXECUTIVE – PMS

Location: Satellite, Ahmedabad

Qualification: Qualified Company Secretary (CS)

Experience: Fresher / 0–1 year

ABOUT THE ROLE

We are looking for a qualified Company Secretary (CS) fresher to join our Compliance team as a Compliance Executive – PMS . The role will primarily focus on regulatory and compliance activities relating to our SEBI-registered Portfolio Management Services (PMS) business . The candidate will work closely under the Compliance Officer and will receive hands-on exposure to SEBI regulations, regulatory filings, audits, internal controls and the day-to-day compliance framework of an investment management business.

While compliance will be the primary responsibility , the role will also work closely with the Operations and Accounts teams. In a PMS, regulatory compliance is closely connected with transactions, client accounts, reconciliations, reporting and financial records. The candidate will therefore be expected to understand and support these functions wherever required to ensure that compliance data, reporting and outcomes are accurate, complete and timely .

KEY RESPONSIBILITIES

1. PMS & Regulatory Compliance

● Assist the Compliance Officer in ensuring compliance with applicable SEBI Portfolio Managers Regulations, circulars, guidelines and other regulatory requirements . ● Track regulatory requirements, compliance calendars, filing dates and internal deadlines. ● Assist in preparing and submitting periodic regulatory filings, reports and disclosures. ● Monitor SEBI circulars and regulatory developments and assist in identifying their applicability to the firm. ● Maintain appropriate supporting records and documentation for regulatory compliance. ● Assist in implementation and monitoring of internal compliance policies, processes and controls.

2.



Compliance Monitoring & Documentation

● Maintain compliance trackers, registers, checklists and supporting documentation. ● Perform periodic checks to ensure prescribed processes and internal controls are being followed. ● Assist in reviewing client documentation, agreements, disclosures and other compliance-related records. ● Follow up with relevant teams for information and documents required for compliance. ● Ensure regulatory and compliance records are properly maintained and readily retrievable.

3. Audit & Regulatory Support

● Assist with internal audits, statutory audits, compliance audits and regulatory inspections . ● Compile and cross-check information required by auditors, regulators and other external agencies. ● Coordinate internally to obtain supporting documents and ensure timely closure of audit observations. ● Maintain proper records of audit queries, responses, observations and corrective actions.

4. Operations & Accounting Coordination

● Work closely with the Operations and Accounts teams where their activities have an impact on regulatory compliance and reporting. ● Assist in cross-checking operational and accounting information used for regulatory filings and compliance reports. ● Support reconciliations and verification of data relating to client accounts, transactions, fees and other PMS records where required for compliance purposes.



● Help identify discrepancies between regulatory, operational and accounting records and coordinate their timely resolution. ● Develop a working understanding of the complete PMS process so that compliance requirements are considered throughout the operating cycle.

5. Company Secretarial & General Compliance Support

● Assist with applicable LLP, MCA and other statutory compliances of the organisation. ● Support preparation and maintenance of resolutions, statutory records, agreements and corporate documentation. ● Coordinate with consultants, auditors, custodians, fund accountants and other external service providers wherever required.

QUALIFICATIONS

● Qualified Company Secretary (CS) from the Institute of Company Secretaries of India (ICSI). ● Freshers are welcome to apply. ● Basic understanding of securities laws, SEBI regulations and corporate compliance. ● Interest in developing a career in investment management / financial services compliance . ● NISM-Series-III-A certification is preferred. Candidates without the certification should be willing to obtain it if required for the role. ● Good working knowledge of Excel , Word and financial data . ● Strong written and verbal communication skills.

WHAT THIS ROLE OFFERS

This is an prospect for a newly qualified Company Secretary to develop specialised experience in the SEBI-regulated investment management industry . Unlike a conventional Company Secretary role focused primarily on ROC and corporate secretarial work, this position offers practical exposure to PMS regulations, investment operations, client reporting, audits, regulatory filings, accounting interfaces and compliance controls .

Pay: ₹500,000.00 - ₹600,000.00 per year

Work Location: In person

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