Compliance Manager

Job Summary

The role involves independently managing regulatory and legal compliance for the Company's SEBI-regulated businesses, including Portfolio Management Services (PMS), Alternative Investment Funds (AIF) and Mutual Fund Distribution (MFD). The position requires strong regulatory interpretation skills, hands-on experience with filings, audits and inspections, and the ability to partner with business teams to strengthen governance frameworks.

Responsibilities

• Manage and oversee compliance under SEBI regulations applicable to PMS, AIF and MFD
• Monitor regulatory developments, analyse circulars and drive implementation across business functions
• Ensure timely completion of regulatory filings, periodic reports and disclosures
• Oversee maintenance of statutory records, compliance registers and audit trails
• Review and vet agreements, investor documentation and business contracts from a regulatory and legal perspective
• Provide legal and compliance support for corporate transactions, new products and operational initiatives
• Coordinate and manage SEBI inspections, internal audits and compliance reviews, including closure of observations
• Partner with internal stakeholders to strengthen governance, risk controls and compliance processes
• Support development and periodic review of policies, SOPs and internal compliance frameworks

Requirements

• 4-5 years of relevant experience in SEBI-regulated financial services (PMS, AIF, asset management or wealth)
• Strong working knowledge of SEBI regulations relating to PMS, AIF, RIA, RA and Mutual Funds
• Corporate and Contract Laws
• FEMA, stamping and registration requirements
• Experience in handling regulatory filings, audits or inspections
• Ability to interpret regulations and provide practical guidance to business teams
• Strong organisational skills and ability to manage multiple assignments and deadlines
• Proficiency in Microsoft Word and Excel
• Strong attention to detail and ability to identify compliance gaps or risks
• Effective communication and stakeholder management skills
• Ability to work independently in a fast-paced, regulated environment

Disclaimer : This job posting has been aggregated from external source. Role details, content, and availability are subject to change. Applicants are advised to confirm the latest information directly on the company website before applying.