Complaince Officer

About the company -

The opening is with an is an equity-focused investment firm with deep domain expertise .

The firm manages equity assets across PMS, AIF, and Advisory channels, including offshore funds. It oversees assets under management and advisory of approximately 3600 Crs

Its proprietary SQGARP™ (Sustainable Quality Growth at Reasonable Price) framework drives a focus on quality businesses and rigorous risk management.

The firm's leadership has earned multiple awards, such as being recognized by Outlook Money as a Leading Fund Manager and as Best Fund Manager – Runner-Up for Axis Mid Cap Fund, among others.

It is India's next PMS has been honored as Best PMS across Multi & Large Cap Category in 2025 and Best Multicap PMS in 2024 at the Crystal Gazing Summit & Awards

Key Responsibilities

Compliance (PMS & Regulatory)

Act as the designated Compliance Officer under SEBI PMS Regulations.

Ensure timely compliance with SEBI regulations, circulars, and guidelines related to PMS.

Oversee investor grievance redressal mechanism and maintain records as per SEBI requirements.

Monitor investment operations, disclosures, client agreements, and ensure adherence to regulatory and internal guidelines.

File regulatory returns and reports with SEBI, stock exchanges (if applicable), and other statutory bodies.

Conduct compliance testing, monitoring, and periodic reviews of policies and processes.

Liaise with regulators, auditors, custodians, and other external stakeholders on compliance-related matters.

Maintain and update compliance manuals, policies, and SOPs.

Company Secretarial & Governance

Act as the Company Secretary, ensuring compliance with the Companies Act, 2013 and rules thereunder.

Organize, convene, and record minutes of Board Meetings, Committee Meetings, and General Meetings.

Draft Board notes, resolutions, and maintain statutory registers and records.

Handle corporate governance matters and provide guidance to the Board on legal and governance issues.

Ensure timely filing of ROC forms, returns, and other statutory filings.

Support the Board and management in ensuring effective governance practices and compliance culture.

Advisory & Risk Management

Advise management on compliance implications of new business initiatives, products, or partnerships.

Identify, assess, and mitigate compliance risks across functions.

Conduct internal awareness sessions to build compliance culture across the organization.

Desired Candidate Profile

Qualification :

Member of Institute of Company Secretaries of India (ICSI) – Mandatory

Law degree or additional compliance certifications preferred

Experience :

Minimum 7 years of experience in Compliance & Company Secretarial roles in PMS & AIF

Strong understanding of SEBI PMS Regulations, Companies Act, FEMA, and other relevant regulatory frameworks.

Skills & Attributes :

In-depth knowledge of regulatory environment and compliance practices.

Strong communication, drafting, and advisory skills.

High integrity, attention to detail, and ability to influence senior stakeholders.

Proactive, structured, and capable of handling multiple responsibilities independently.

Package up to 28 Lpa

Qualification -

CS+LLB

CS+MBA

CS+MCom

CS+CA

Skills Required

Companies Act, Company Secretarial, Compliance, FEMA