Compliance Officer

About the job

About the Company

Systematix Group is a leading diversified financial services firm offering a wide range of solutions, including Investment Banking, Institutional Equities, Wealth Management, Retail Broking, NBFC and Asset Management. With 40+ years of legacy & 300+ experienced professionals, Systematix has built a strong track record of delivering value-driven solutions to clients across multiple sectors. We are committed to being a lifecycle partner for businesses, providing strategic and financial guidance at every stage of their journey.

Business: - Wealth Business

Role: - Compliance Manager

Experience: - 10 to 15 years

Location: - Mumbai, Kolkata, Ahmedabad, Pune, Delhi

Role Summary

The role involves independently managing regulatory and legal compliance for the Companys 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.

Key Responsibilities

• Independently manage regulatory and legal compliance for the Company's SEBI-regulated businesses, including Portfolio Management Services (PMS), Alternative Investment Funds (AIF), Registered Investment Adviser (RIA), Research Analyst (RA), and Mutual Fund Distribution (MFD).
• Interpret SEBI regulations, circulars, and regulatory updates, and drive implementation across business functions.
• Ensure timely completion of regulatory filings, statutory submissions, periodic reports, and disclosures.
• Maintain statutory records, compliance registers, documentation, and audit trails in accordance with regulatory requirements.
• Review agreements, investor documentation, business contracts, and operational documents from a regulatory and legal compliance perspective.
• Provide legal and compliance support for new business initiatives, product launches, corporate transactions, and operational changes.
• Coordinate and manage SEBI inspections, regulatory audits, internal audits, and compliance reviews, including timely closure of observations.
• Work closely with Business, Operations, Legal, Risk, and Senior Management to strengthen governance, internal controls, and compliance processes.
• Develop, review, and update compliance policies, SOPs, and internal governance frameworks.
• Identify compliance gaps, assess regulatory risks, and recommend corrective actions to ensure adherence to applicable laws.

Desired Candidate Profile

• 10–15 years of relevant experience in Compliance within Wealth Management, Asset Management, PMS, AIF, Mutual Funds, or other SEBI-regulated financial services.

• Strong understanding of:

• SEBI Regulations applicable to PMS, AIF, Mutual Funds, RIA, and Research Analyst.

• Corporate Laws and Contract Laws.

• FEMA regulations.

• Stamping and Registration requirements.

• Hands-on experience in managing regulatory filings, inspections, audits, and compliance reporting.

• Strong ability to interpret regulations and provide practical compliance guidance to business teams.

• Excellent analytical, documentation, and stakeholder management skills.

• High attention to detail with the ability to identify regulatory and compliance risks.

• Proficient in Microsoft Excel and Microsoft Word.

• Ability to work independently in a dynamic and fast-paced environment.

Employment Type: Full Time