Take charge of every compliance task tied to PMS, mutual funds, or insurance agency work. Set up systems that
follow what SEBI, AMFI, and IRDAI ask for. Team up with product and tech folks so rules turn into real tools,
steps, guides, plus how users interact.
Key Responsibilities:
Regulatory –
Maintain compliance for PMS under SEBI rules - handle reports, disclosures, contracts, also regular
submissions.
Deal with checks, reviews, or messages from SEBI, also handling similar tasks for AMFI along with IRDAI
paperwork.
Make sure MF distribution follows MFD rules, check risks carefully, confirm investor profiles, do proper client
checks instead of just ticking boxes, also stick to payout rules.
Handle insurance firm rules through IRDA - like permits, learning schedules, agent sign-ups, also updates - all in
line.
Keep an eye on new rules, then put them into action ahead of time.
Operational:
Draft policies, then go over them to make updates, Tweak SOPs alongside investor paperwork, mix in changes
for distributor info, also adjust platform rules when needed.
Get staff and collaborators up to speed on rules by running practice sessions.
Keep an eye on transactions plus handle investor complaints. Watch out for mis-selling risks while checking
paperwork issues. Also review how internal checks are working.
Maintain records, keep logs, update and track changes carefully.
Team up with engineers to sketch out steps for ID checks, data verification, payouts, sign-up processes, info
sharing, also risk reviews.
Check each version fits rules before launching it, so nothing slips through.
Create compliance dashboards, run automatic checks or set up alerts when things shift.
Skills
Strong understanding of SEBI PMS regulations
Comfortable with AMFI and IRDAI frameworks
Dealing with audits? Got questions from regulators? You’ve handled it before.
Knows how to draft rules along with clear task descriptions
Good communication skills.
Preferred:
Worked with a PMS, fintech, mutual fund seller or brokerage firm
Pay: ₹60,000.00 - ₹63,785.40 per month
Benefits:
- Health insurance
- Paid sick time
- Paid time off
- Provident Fund
Work Location: In person
