Compliance Officer - PMS & AIF - BFSI

Compliance Officer (PMS & AIF)

Job Summary:

- We are seeking a highly motivated and detail-oriented Compliance Officer to join our growing team.

- The successful candidate will be responsible for ensuring adherence to all applicable SEBI regulations and guidelines related to Portfolio Management Services (PMS) and Alternative Investment Funds (AIFs).

- This role will involve monitoring regulatory changes, conducting internal audits, statutory audits, SEBI compliances and maintaining comprehensive compliance records.

Key Responsibilities:

Regulatory Compliance:

- Monitor and interpret all applicable SEBI regulations, circulars, and guidelines related to PMS and AIFs.

- Advise business units on regulatory requirements and best practices.

- Conduct regular reviews of internal policies, procedures, and controls to ensure compliance.

- Develop and implement compliance programs and training modules for relevant staff.

Internal Audits and Controls:

- Conduct periodic internal audits to assess compliance with regulatory requirements and internal controls.

- Investigate and resolve compliance issues and deficiencies.

- Maintain accurate and up-to-date compliance records and documentation.

Regulatory Reporting:

Prepare and file all regulatory filings with SEBI, including but not limited to:

- Monthly/Quarterly reports

- Annual returns

- Sebi offsite

- PPM audit report

- INVI filing

Other regulatory filings as required:

- Ensure timely and accurate submission of all regulatory reports.

Liaison with Regulators:

- Interact and coordinate with SEBI and other regulatory authorities on compliance matters.

- Respond to inquiries and requests from regulators.

Risk Management:

- Identify and assess compliance risks and implement appropriate mitigation measures.

- Monitor market trends and regulatory developments to proactively address potential compliance issues.

Due Diligence:

- Conduct due diligence on all inflows and outflows of funds to ensure compliance with AML/KYC regulations and other applicable laws.