Job Description – Compliance Officer (SEBI Registered PMS)
Qualification: LLB / CA / CS / MBA
Experience: 2+ years
Office Location: Bangalore
About the Company
4thoughts Finance is a Multi-family office and Wealth Management firm that has pioneered the cause of unbiased wealth management and family office offering since 2015. Working closely with generation next leaders, the firm has a niche set of offerings which are tailor-made to suit its client's needs and requirements. The firm's activities are focused on providing wealth management, advisory on cross-border structures and transactions, advisory on business structuring, sourcing, and converting domestic as well as cross-border investment banking deals. We are currently expanding our investment platform with the launch of our own Portfolio Management Services (PMS), As part of this strategic expansion, we are looking for a Compliance Officer to help establish and oversee our regulatory and compliance framework for the PMS business.
About the Role
We are looking for an experienced and detail-oriented Compliance Officer to oversee regulatory compliance for our SEBI-registered Portfolio Management Services (PMS) business. The ideal candidate should possess a strong understanding of SEBI regulations and have hands-on experience managing compliance functions within the Indian capital markets ecosystem.
Key Responsibilities
· Ensure compliance with all applicable SEBI regulations governing Portfolio Management Services (PMS).
· Monitor and implement regulatory changes issued by SEBI, AMFI, Exchanges, Depositories, and other regulatory authorities.
· Prepare, review, and file all periodic and event-based regulatory reports, disclosures, and submissions with SEBI and other regulators within prescribed timelines.
· Develop, implement, and maintain compliance policies, procedures, and internal controls.
· Conduct compliance reviews and monitor adherence to internal policies and regulatory requirements.
· Coordinate with internal teams including investments, operations, legal, finance, and risk management to ensure regulatory compliance.
· Manage regulatory inspections, audits, and compliance reviews by SEBI and other authorities.
· Maintain statutory registers, compliance records, and documentation required under applicable regulations.
· Review marketing material, client communications, agreements, and disclosures from a regulatory perspective.
· Monitor investor grievance handling and ensure timely resolution.
· Conduct periodic compliance training and awareness sessions for employees.
· Report compliance issues, regulatory risks, and breaches to senior management and recommend corrective actions.
Required Qualifications
· Bachelor’s degree in law, Commerce, Finance, Business Administration, or a related discipline.
· Professional qualifications such as LLB, CS, CA, CFA, or equivalent will be preferred.
· Strong understanding of SEBI regulations applicable to capital market intermediaries.
Experience Requirements
· Minimum 3 years of relevant experience as a Compliance Officer or Compliance Professional in a SEBI-registered entity.
· Experience in any of the following is mandatory:
o SEBI Registered Portfolio Management Services (PMS)
o SEBI Registered Investment Adviser (RIA)
o SEBI Registered Alternative Investment Fund (AIF)
· Candidates with direct PMS compliance experience will be given preference.
Required Skills
· In-depth knowledge of SEBI regulations, circulars, and compliance requirements.
· Familiarity with PMS Regulations, Investment Advisers Regulations, AIF Regulations, Prevention of Money Laundering (PMLA), KYC/AML norms, FATCA/CRS, and related regulatory frameworks.
· Strong drafting and documentation skills.
· Excellent analytical and problem-solving abilities.
· High level of integrity, attention to detail, and professional ethics.
· Ability to work independently while coordinating with multiple stakeholders.
· Strong communication and interpersonal skills.
Preferred Candidate Profile
· Prior experience handling SEBI inspections and regulatory audits.
· Experience interacting directly with SEBI and other regulatory authorities.
· Familiarity with compliance management systems and regulatory reporting processes.
· Ability to work in a fast-paced and highly regulated financial services environment.
What We Offer?
· Opportunity to work with a growing SEBI-regulated investment management platform.
· Exposure to diverse investment products and regulatory matters.
· Collaborative and professional work environment.
· Competitive compensation based on experience and qualifications.
Interested candidates can share their CVs to [email protected]
Pay: Up to ₹1,500,000.00 per year
Benefits:
- Cell phone reimbursement
- Food provided
- Health insurance
- Paid sick time
Ability to commute/relocate:
- Bengaluru, Karnataka: Reliably commute or planning to relocate before starting work (Required)
Education:
Experience:
- SEBI Regulations: 1 year (Required)
- SEBI PMS Regulations: 1 year (Required)
Work Location: In person
