About the Role:
We are looking for a highly accomplished and business-aligned Compliance Officer to build and lead the compliance framework for Portfolio Management Services (PMS) platform. This is a strategic role requiring strong regulatory expertise, risk governance capability, and the ability to support rapid business expansion while ensuring complete adherence to applicable laws and best practices.
Key Responsibilities:
- Establish and lead the end-to-end compliance function for the PMS business.
- Ensure compliance with SEBI PMS Regulations, AML/KYC norms, FEMA, Companies Act, PMLA, and related guidelines.
- Develop internal policies, SOPs, monitoring systems, and governance controls.
- Liaise with SEBI, exchanges, auditors, custodians, trustees, and legal advisors.
- Oversee client onboarding compliance, disclosures, reporting, and grievance redressal.
- Drive surveillance on trades, insider trading controls, conflict management, and code of conduct adherence.
- Lead regulatory filings, inspections, audits, and board-level compliance reporting.
Pay: ₹700,000.00 - ₹800,000.00 per year
Benefits:
Work Location: In person
