Role & responsibilities

Role Summary

You will be responsible for PMS regulatory compliance, investor onboarding documentation, statutory filings and secretarial support for the PMS desk, while coordinating closely with legal, operations, risk, dealing and senior management. The role suits someone who enjoys structured processes, regulatory interpretation and hands-on execution.

Key Responsibilities

1. PMS & SEBI Compliance

- Ensure day-to-day compliance with SEBI (Portfolio Managers) Regulations and

relevant circulars.
- Draft, review and periodically update PMS policies, SOPs, code of conduct, dealing

and allocation policy.
- Monitor regulatory changes (SEBI / RBI / Exchanges / Depositories) and implement

required changes in processes and documentation.
1. Investor Onboarding & Documentation

- Oversee PMS client onboarding KYC, FATCA, UBO, risk profiling, suitability,

investment agreements and PoA documents.
- Ensure robust AML / CFT checks, risk classification of clients, and maintenance of

complete documentation trails.
- Support onboarding of FPIs / NRI / HNI clients, including FEMA/SEBI-related

documentation where applicable.
1. Filings, Reporting & Inspections

- Prepare and file periodic PMS reports (monthly/quarterly/annual) with SEBI and

other regulators as applicable.
- Coordinate for SEBI inspections, internal and external audits, including data

collation and response to observations.
- Liaise with Company Secretarial team on ROC, SEBI (LODR) and other group-level

compliance items impacting PMS.
1. Secretarial & Governance Support

- Assist in preparation of Board / Committee agendas, notes, resolutions and

minutes relating to PMS.




- Maintain statutory registers, records and approvals for PMS-related matters.
- Review marketing material, product notes and investor communication for

regulatory and disclosure compliance.
1. Controls, Internal Audit & Risk

- Implement and monitor compliance checklists for PMS investment restrictions,

client-wise guidelines, documentation completeness.
- Support internal audit / compliance reviews and drive closure of action points within

agreed timelines.

Candidate Profile

Qualifications

- Qualified Company Secretary (CS) – ICSI membership mandatory.
- LLB / CA / CFA / NISM capital markets certifications will be an added advantage.

Experience
- 2–6 years of experience in compliance / secretarial roles within PMS / AIF / wealth

management / broking / listed company or similar capital markets setup.
- Exposure to SEBI regulations, AML / KYC, ROC filings, SEBI (LODR), FEMA will be

preferred. Skills & Attributes
- Strong drafting and documentation skills (policies, agreements, board notes,

regulatory correspondence).
- Comfort with regulatory interpretation, audits and inspections.
- High attention to detail, ownership mindset and ability to work under timelines.
- Robust interpersonal skills to work with cross-functional teams and senior

stakeholders. What We Offer
- A front-seat role in shaping the PMS compliance and governance framework within

a fast-growing, tech-driven platform.
- Exposure to senior management, regulators, auditors and the broader capital

markets ecosystem.
- Competitive compensation in the 10–18 LPA range, commensurate with experience
- and capability.

📌 Company Secretary PMS Compliance (Lucknow)
🏢 Intellectual Capital HR Consulting
📍 Lucknow