PMS Compliance Manager

ConfidentialThane

30+ days ago

Job description

We are actively seeking a meticulous and highly knowledgeable PMS (Portfolio Management Services) Compliance Manager to join our client's team through Acme Services . This pivotal role requires 2-3 years of experience in PMS / AIF / MF compliances , with a strong understanding of SEBI PMS Regulations, Companies Act 2013, AML / PMLA, and Insider Trading regulations . The ideal candidate will be responsible for ensuring strict compliance with all regulatory frameworks, developing and maintaining compliance documentation, assisting with AML / PMLA & Insider Trading compliance, and providing crucial support during various audits related to PMS operations.

Key Responsibilities

SEBI PMS Regulations Compliance : Ensure comprehensive and strict compliance with SEBI PMS Regulations across all aspects of the Portfolio Management Services operations.
Compliance Documentation & Tracking : Develop and meticulously maintain Compliance Manuals, Checklists, Tracking mechanisms, and Reporting frameworks to ensure systematic adherence to regulatory requirements.
AML / PMLA & Insider Trading Support : Provide essential assistance in ensuring compliance with AML (Anti-Money Laundering) / PMLA (Prevention of Money Laundering Act) & Insider Trading Regulations , safeguarding against financial crimes and unethical practices.
Audit Assistance : Actively assist in concurrent, internal, and statutory audits related to PMS , providing necessary documentation, explanations, and support to ensure smooth audit processes.
Regulatory Updates : Stay abreast of all relevant regulatory changes and updates pertaining to PMS, AIF, and Mutual Funds, and disseminate information to relevant stakeholders.

Skills

2-3 years of experience in PMS / AIF / MF compliances .

In-depth knowledge of SEBI PMS regulations .

Familiarity with the Companies Act 2013 .

Understanding of AML / PMLA & Insider Trading regulations .

Strong ability to develop and maintain Compliance Manuals, Checklists, Tracking, and Reporting systems.

Excellent analytical skills and attention to detail.

Strong communication skills, both written and verbal.

Qualifications

Bachelor's degree in Law, Finance, Commerce, or a related field.

Proven experience in a compliance role within the Portfolio Management Services, Alternative Investment Funds, or Mutual Funds sector.

Relevant professional certifications (e.g., NISM certifications) are a plus.

Skills Required

Portfolio Management, Compliance Management, sebi regulations , Audit Assistant, Analytical Skills, Communication Skills

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Compliance Manager • Thane