Compliance (Wealth Management)

This role is for one of Weekday’s clients

Min Experience : 3 years

Location : Mumbai

JobType : full-time

Requirements

We are looking for a highly motivated and detail-oriented Compliance Professional with at least 3+ years of experience in compliance and company secretarial functions, preferably within the financial services or wealth management sector. The role involves overseeing compliance aspects across Investment Advisory (RIA), Distribution, and Non-Discretionary Portfolio Management Services (ND PMS) . The ideal candidate will ensure that all regulatory requirements are met in a timely and accurate manner while maintaining a strong governance framework.

This role demands strong knowledge of SEBI, AMFI, and other applicable regulatory frameworks , hands-on experience in company secretarial work, and the ability to liaise effectively with internal teams, regulators, and external advisors. The candidate will be a key partner in supporting business growth while safeguarding the organization’s integrity, compliance, and ethical standards.

Key Responsibilities

• Regulatory Compliance & Filings
• Ensure all statutory filings and regulatory submissions are completed accurately and on time.
• Maintain updated records of compliance activities, approvals, and reporting requirements.
• Track regulatory deadlines and ensure compliance calendars are adhered to.
• Policy & Regulatory Updates
• Review, update, and maintain internal compliance policies in line with evolving regulatory requirements.
• Interpret new SEBI / AMFI circulars and guidelines, communicate changes to relevant teams, and ensure effective implementation.
• Transaction & Advisory Oversight
• Ensure that all Investment Advisory, Distribution, and ND PMS transactions are executed in compliance with regulatory frameworks.
• Provide guidance to teams to align practices with statutory and regulatory expectations.
• Regulatory & Audit Engagement
• Build and maintain strong relationships with regulators .
• Manage the firm’s responses to inspections, audits, and regulatory observations.
• Ensure internal and external audits are completed on time and findings are addressed.
• Compliance Support & Documentation
• Provide compliance opinions and support for day-to-day business activities.
• Review contracts, agreements, and documentation to ensure regulatory and legal compliance.
• Ensure all third-party providers have valid contractual relationships in place.
• Training & Awareness
• Conduct regular compliance training and updates for employees on AML, Insider Trading, and other key compliance areas.
• Build awareness across Sales, Advisory, Product, and Operations teams to ensure end-to-end compliance.
• Governance & Secretarial Work
• Support company secretarial responsibilities , ensuring adherence to corporate governance standards.
• Liaise with external law firms and company secretarial advisors as needed.
• Surveillance & Risk Management
• Monitor and review compliance alerts, taking timely corrective actions.
• Identify compliance risks proactively and recommend mitigations.

Skills & Experience