Compliance Manager

This role is for one of the Weekday's clients

Salary range: Rs 200000 - Rs 1000000 (ie INR 2-10 LPA)Location: Mumbai

JobType: full-time

Requirements

Key Responsibilities

• Manage all compliance aspects of Portfolio Management Services (PMS) in line with regulatory requirements.
• Review and ensure timely submission of all regulatory filings and submissions, while maintaining accurate records.
• Regularly update and monitor adherence to compliance policies.
• Review, analyze, and implement new regulatory circulars; guide internal teams, create implementation plans, and ensure timely execution.
• Oversee PMS transactions to ensure they are executed as per SEBI regulations and prescribed timelines.
• Build and manage strong relationships with regulators, supporting responses to regulatory inspections and observations.
• Provide compliance opinions and guidance on day-to-day matters, including review of disclosure documents, KYCs, and regulatory requirements.
• Ensure timely completion of inspections and address compliance observations effectively.
• Handle internal customer queries promptly, ensuring compliance-related concerns are addressed.
• Conduct employee training sessions on compliance, AML, insider trading, and other regulatory matters.
• Review surveillance alerts, investigate concerns, and take corrective action where required.

Required Skills & Expertise

• Strong knowledge of SEBI regulations and compliance requirements for Portfolio Management Services (PMS).
• Proven experience in handling compliance, regulatory filings, and inspections.
• Expertise in compliance policy implementation and monitoring.
• Strong communication, analytical, and stakeholder management skills.

Core Skills

• SEBI Compliance
• PMS Operations
• Regulatory Compliance