Compliance Officer - PMS - BFSI

Roles and Responsibilities:

- Completed SEBI registration for PMS business and monthly compliances

- Drafting the PMS agreement and POA along with the KYC form

- Coordination and setting up of Custodial and banking activities with ICICI Bank and HDFC Bank - Setting up the Wealth spectrum system.

- Knowledge of the Wealth spectrum system with handling activities like account creation, Transaction entries, billing, Custody report generation, monthly SEBI reporting and daily system processes BOD and EOD including price and securities updating and corporate action.

- Maintaining the Bank and custody holding reco and sending day end custody trade reports to both ICICI and HDFC.

- Know how of digital onboarding process. Involved in compliance activities for the investment advisory business (if possible) - Disclosure Document drafting and updating