PMS Compliance Manager

Responsibilities :

• SEBI PMS Regulations Compliance : Ensure comprehensive compliance with all SEBI (Securities and Exchange Board of India) PMS (Portfolio Management Services) Regulations .
• Compliance Framework Development : Develop and maintain a robust Compliance Manual, detailed Checklists, effective Tracking mechanisms, and accurate Reporting frameworks related to PMS operations.
• AML / PMLA & Insider Trading Compliance : Assist in ensuring full compliance with Anti-Money Laundering (AML) / Prevention of Money Laundering Act (PMLA) and Insider Trading regulations .
• Audit Assistance : Provide dedicated assistance in concurrent, internal, and statutory audits specifically related to PMS activities, ensuring all documentation and processes are in order.
• Regulatory Knowledge Application : Apply in-depth knowledge of SEBI PMS regulations, Companies Act 2013, AML / PMLA, and Insider Trading regulations to all compliance activities.
• Risk Mitigation : Identify potential compliance risks and assist in implementing mitigation strategies.
• Reporting : Prepare and submit necessary compliance reports to internal stakeholders and regulatory bodies as required.

Required Skills :

Skills Required

Trading, Sebi, Companies Act, Auditing, Analytical Skills