Talent.com
This job offer is not available in your country.
Compliance Officer - PMS

Compliance Officer - PMS

SKS Enterpprises - Human Resource Planning and ManagementMumbai, Maharashtra, India
3 days ago
Job description

Job Title : Compliance Officer – AIF / PMS

Location : Mumbai (Andheri)

Experience Required : 6–7 years

About the Role :

We are looking for an experienced Compliance Officer to manage and oversee compliance for our Alternative Investment Fund (AIF) and Portfolio Management Services (PMS) business. The role involves ensuring adherence to SEBI regulations, internal policies, and providing guidance to business teams.

Key Responsibilities :

  • Ensure compliance with SEBI (AIF / PMS) regulations, circulars, and reporting requirements.
  • Draft, implement, and update compliance policies and internal controls.
  • Monitor KYC / AML processes and investor onboarding.
  • Handle regulatory inspections, audits, and filings.
  • Liaise with regulators, custodians, trustees, auditors, and other stakeholders.
  • Provide compliance advisory support to investment, sales, and operations teams.
  • Conduct regular compliance reviews and maintain proper documentation.

Requirements :

  • 6–7 years of experience in compliance within AIF / PMS / Wealth Management domain.
  • Strong understanding of SEBI regulations, AML / KYC norms, and investment operations.
  • Professional qualifications such as CS / LLB / MBA (Finance) preferred.
  • Strong communication and stakeholder management skills.
  • Create a job alert for this search

    Compliance Officer • Mumbai, Maharashtra, India

    Related jobs
    • Promoted
    PMS Operations & Compliance Officer (Company Secretary)

    PMS Operations & Compliance Officer (Company Secretary)

    Stellar Capital ManagementMumbai, Maharashtra, India
    At Stellar (https : / / stellarcapital.AI-powered wealth management for modern Indians.Powered by advanced AI and institutional-grade quantitative research, Stellar Capital Management helps modern Indi...Show moreLast updated: 30+ days ago
    • Promoted
    • New!
    Compliance Officer

    Compliance Officer

    ConfidentialIndia, Mumbai
    Job opening for the Compliance Officer role in a Leading NBFC at Mumbai.Note : We are considering candidates who are available to join immediately or within a maximum notice period of 30 days.This r...Show moreLast updated: 18 hours ago
    • Promoted
    Regulatory Compliance Specialist -2+

    Regulatory Compliance Specialist -2+

    Jupiter AI LabsThane, IN
    Regulatory & Compliance Specialist.India and international destination countries.This role is ideal for professionals experienced in handling regulatory filings, certifications, and export-related ...Show moreLast updated: 18 days ago
    • Promoted
    Junior Compliance Officer

    Junior Compliance Officer

    Tetra Consultantsmumbai, maharashtra, in
    Tetra Consultants is a management consulting firm headquartered in Singapore.Our corporate advisory wing specializes in international business set up, financial license applications, merger & acqui...Show moreLast updated: 2 days ago
    • Promoted
    ValueQuest Investment Advisors - Senior Compliance Officer - Alternative Investment Fund

    ValueQuest Investment Advisors - Senior Compliance Officer - Alternative Investment Fund

    ValueQuestMumbai, India
    Senior Compliance Officer - Alternative Investment Fund (10-12 yrs) About the job : - We are seeking a dynamic and experienced Se...Show moreLast updated: 22 days ago
    • Promoted
    • New!
    Fraud Operations Associate (L1) – E-commerce / Payment Risk (2 to 5 years)

    Fraud Operations Associate (L1) – E-commerce / Payment Risk (2 to 5 years)

    AIMLEAPKalyan-Dombivli, IN
    AIMLEAP is a global technology consulting powerhouse, specializing in end-to-end full-stack development of AI-powered solutions with a focus on performance, scalability, and security.Certified with...Show moreLast updated: 3 hours ago
    • Promoted
    Governance Risk Compliance - Senior Officer

    Governance Risk Compliance - Senior Officer

    MizuhoNavi Mumbai, Maharashtra, India
    Mizuho Global Services Pvt Ltd (MGS) is a subsidiary company of Mizuho Bank, Ltd, which is one of the largest banks or so called ‘Mega Banks’ of Japan. MGS was established in the year 2020 as part o...Show moreLast updated: 30+ days ago
    Compliance (Wealth Management)

    Compliance (Wealth Management)

    Weekday AIMumbai, MH, IN
    Quick Apply
    This role is for one of Weekday’s clients.We are looking for a highly motivated and detail-oriented.The role involves overseeing compliance aspects across. Investment Advisory (RIA), Distribution, a...Show moreLast updated: 26 days ago
    • Promoted
    Compliance & Assurance Officer

    Compliance & Assurance Officer

    IndusInd BankMumbai, Maharashtra, India
    We are looking for a motivated Compliance & Assurance Officer with 5–6 years of experience in regulatory compliance, preferably within the banking, NBFC, or insurance sectors.The candidate will sup...Show moreLast updated: 6 days ago
    • Promoted
    Oracle Fusion SECURITY HCM Functional Lead

    Oracle Fusion SECURITY HCM Functional Lead

    Hiresquad ResourcesKalyan-Dombivli, IN
    Hiring for Oracle HCM Cloud Security Lead.Candidates with lesser notice period are preferred.The Oracle HCM Cloud Security Lead is responsible for independently designing, implementing, and managin...Show moreLast updated: 2 days ago
    • Promoted
    Compliance Specialist

    Compliance Specialist

    Sycamore Informatics Inc.Kalyan-Dombivli, IN
    Assist with Quality System development, training, and process.Assist with internal audits to assess compliance.Represent or assist SI in external audits. Participate in the CAPA process.Assist and w...Show moreLast updated: 3 days ago
    • Promoted
    Safety & Compliance Educator (POSH Act / Workplace Safety)

    Safety & Compliance Educator (POSH Act / Workplace Safety)

    Concept Of Living Charitable TrustKalyan-Dombivli, IN
    Hiring Now : POSH Act Trainer | Workplace Safety & Compliance | Earn Per Session | CSR Certified NGO | Pan India Opportunity. Concept of Living Charitable Trust (COL).India’s most trusted NGOs — is l...Show moreLast updated: 26 days ago
    Compliance Officer

    Compliance Officer

    Weekday AIMumbai, MH, IN
    Quick Apply
    This role is for one of Weekday’s clients.We are seeking a dedicated and detail-oriented.Regulatory Investment Advisory (RIA), Non-Discretionary (ND) portfolio management, Distribution, and Investm...Show moreLast updated: 30+ days ago
    • Promoted
    Relationship Officer – Secured Loans (Housing / Mortgage / LAP / MSME)

    Relationship Officer – Secured Loans (Housing / Mortgage / LAP / MSME)

    TRDFIN Support Services Pvt LtdKalyan-Dombivli, IN
    We are looking for a dynamic and target-oriented.The role involves sourcing new customers, maintaining client relationships, and ensuring smooth loan processing and disbursement.Source and acquire ...Show moreLast updated: 3 days ago
    • Promoted
    Marine Safety Officer

    Marine Safety Officer

    CMA SHIPSThane, IN
    Designated Person Ashore – Company Security Officer.Comply with IMS and all relevant international rules and regulations. .Ensure all your duties in accordance with quality, health, safety, environm...Show moreLast updated: 26 days ago
    • Promoted
    Specialist, Cybersecurity Regulatory & Compliance Officer, Technology and Operations

    Specialist, Cybersecurity Regulatory & Compliance Officer, Technology and Operations

    DBS Bankmumbai, maharashtra, in
    Technology and Operations (T&O) enables and empowers the bank with an efficient, nimble and resilient infrastructure through a strategic focus on productivity, quality & control, technology, people...Show moreLast updated: 13 days ago
    • Promoted
    Trust Investment Advisors - Compliance Role - AIF & PMS - Private Wealth Management Firm & Multi-Family Office

    Trust Investment Advisors - Compliance Role - AIF & PMS - Private Wealth Management Firm & Multi-Family Office

    Trust Investment Advisors Private LimitedMumbai, India
    Compliance - AIF & PMS- Private Wealth Management firm & Multi-Family Office Qualifications : CS must; in addition, LLB will be preferred<...Show moreLast updated: 5 days ago
    • Promoted
    Lead Regional Compliance Specialist

    Lead Regional Compliance Specialist

    Securitas GroupMumbai, IN
    Lead Regional Compliance Specialist - APAC.India – open to Chennai / Hyderabad / Pune.We are a dynamic, dedicated team that provides management and support for a global guarding services account that s...Show moreLast updated: 30+ days ago