Role Overview
We are seeking an experienced and detail-oriented Compliance Manager – Wealth Management to oversee regulatory adherence across our Wealth Management, PMS (Portfolio Management Services), AIF (Alternative Investment Funds), and Distribution arms. In this role, you will ensure full alignment with SEBI, AMFI, IRDAI, and RBI regulations, conduct internal compliance audits, review marketing and client-facing collateral, and maintain an audit-ready compliance framework.

Key Responsibilities
1. Regulatory Compliance & Governance
• Monitor and ensure strict compliance with applicable rules, circulars, and guidelines issued by SEBI, AMFI, IRDAI, Exchanges, Depositories, RBI, and other regulatory bodies.
• Interpret recent regulatory updates, market circulars, and industry developments impacting distribution channels.
• Conduct comprehensive regulatory gap assessments and implement robust internal compliance controls.
• Draft, maintain, and update compliance policies, standard operating procedures (SOPs), manuals, and governance frameworks.

2. Advisory & Business Support




• Act as the primary compliance advisor to Wealth Management, Distribution, Sales, and Product teams.
• Provide proactive guidance on the launch of new products, digital channels, corporate partnerships, and business initiatives.
• Drive regulatory implementation projects and advise on structured compliance solutions for new product rollouts.

3. Monitoring & Surveillance
• Design, implement, and track compliance monitoring and review programs across distribution units.
• Conduct periodic thematic reviews, branch/desk testing, and process audits.
• Track compliance breaches, policy exceptions, customer complaints involving distributed products, and corrective action plans (CAPA).
• Identify emerging compliance risks and implement effective risk mitigation measures.

4. Regulatory Reporting & Liaison
• Ensure accurate and timely submission of all regulatory filings, returns, disclosures, and cert

📌 Compliance Manager (India)
🏢 Bajaj Broking
📍 India