Compliance
Core
Manage regulatory compliance for SEBI-regulated Alternative Investment Funds (AIF), Portfolio Management Services (PMS), and Investment Advisory businesses.
Role type
Mid-level compliance officer (financial services)
Builds
Compliance processes, regulatory reports, and internal control frameworks for investment funds
Domain
Financial services / Asset management / Regulatory compliance
Deliverable
client delivery
Required skills
SEBI regulations knowledge, regulatory reporting, AML/KYC monitoring, policy drafting, audit coordination, risk identification
Preferred skills
Asset management company experience, legal/finance background, stakeholder management
Technologies
None stated
Responsibilities
Monitor SEBI regulatory compliance for AIF/PMS/IA; Review client onboarding and investment mandates; Conduct compliance testing and gap analysis; Coordinate regulatory filings and submissions; Draft and update compliance policies and SOPs; Manage AML/KYC and investor due diligence
Seniority
Mid-level, hands-on IC