Compliance Manager

We are looking to hire a mid level compliance and operations manager at Prescient Capital. The person should have a minimum of 2 years of experience in managing compliance and operations of a Portfolio Management Services (PMS) / AIF / Mutual Fund  in India. The person needs to work out of our office in Gurgaon. We do not offer permanent work from home as a working arrangement.

The specific job expectations are :

• Oversee the end to end SEBI compliance requirement of a PMS
• Responsible for timely preparation and submission of all documents to SEBI and other stakeholders like APMI.
• Ensure proper KYC compliance of all PMS clients.
• Be hands on in execution and enablement of all SEBI PMS policies.
• Lead annual PMS compliance audit. Liaison with PMS auditors to ensure smooth and timely completion of annual audit.
• Ensure all SEBI mandated processes like AML, SCOREs, Insider Trading, Website compliance are adhered to.
• The role requires the personnel to reach out to the clients for compliance requirements.
• Should have excellent verbal and written communication skills.
• Should be able to work in a small team. We are looking for someone who is an individual contributor with an ownership mindset.
• Salary : 10-15 L / Year.

To know more about us kindly refer to our website : www.prescientcap.com

Skills Required

PMS compliance audit, SEBI compliance, KYC compliance