Type: Full Time Location: Andheri (W) - Mumbai Description:
Company Name :Plan Ahead Wealth Advisors Pvt. Ltd.
Experience Level : 2+ Years
Industry :Financial Planning, Wealth Management
Application Deadline :31-01-2026
About The Company
Plan Ahead was established in 2003. It is registered as a SEBI licensed Registered Investment Advisory firm since 2013. Plan Ahead is over twenty two years old and the team has grown significantly. Today Plan Ahead is one of the leading fee only advisory companies in India.
We add time to the lives of busy and successful professionals and senior management executives across the globe, by helping them have a panoramic view of their finances. By providing a personalized and unbiased analysis of their finances, resources and life goals, we empower client families and guide them so that they have the time and freedom to do the things they would truly like to do.
Website : www.planahead.in
Job Summary : AMFI / SEBI regulatory compliance
Who Should Apply :Stock broking / mutual fund / PMS industry, relevant knowledge of AMFI / SEBI-related compliance CS / LLB candidates will be an advantage but not compulsory
Responsibility
- Setting up processes and calendars for internal compliance audit/review across all teams
- Developing policies to support compliance and track non-compliance
- Undertaking and conducting a periodic internal compliance audit
- Writing and presenting reports to management outlining recommendations for improvements
- Co-coordinating and handling (both internal & external) compliance audit queries
- Setting up processes and trackers as per SEBI and AMFI guidelines for meeting relevant compliance requirements
- Ensure 100% compliance with Audits, Controls, and Processes as per SEBI RIA and AMFI regulations
- Submission of periodic reports to SEBI/AMFI/RBI/Management in accordance with mutual fund regulations and guidelines
- Tracking and suitable action on SEBI portal and Scores portal requirements.
- Tracking timely renewal of all applicable SEBI and AMFi licenses
- Checking, tracking & maintaining compliance documentation for all clients
- Maintaining appropriate qualification and certification records, documentation, and information relating to organization and team compliance
- Ensuring timely collection and maintenance of quarterly/annual compliance requirements and disclosures from all teams and for the company
- Compliance data management and website updation as per the compliance requirements
- Dealing with compliance-related queries from teams, clients, or prospects in person, over the phone, or via email
- Monitoring adherence to policies and reporting on compliance activities
- Consulting with team members to identify root causes of non-compliance events
- Working with teams to remediate incidents of grievance/complaint / non-compliance as applicable
- Maintaining regulatory awareness through ongoing compliance training and induction
- Developing and delivering training to the team on regulatory changes and raising awareness of their compliance responsibilities
- Reading regulatory bulletins, and news publications and reviewing regulatory websites to stay current on regulatory changes and trends
- Keeping oneself updated on changes in any Markets / Compliance / Regulatory processes/norms
- To track the completion of action points arising out of audits & following up for action on them
- Establishing a compliance calendar that identifies all important dates for regulatory and reporting matters, to ensure that important deadlines are met
- Ensuring all manufacturer/vendor agreements are in line with applicable compliance requirements at all times.
- Assisting/Coordinating with accounts team, and CA team for all statutory compliances such as AGM, Annual Report, etc.
Requirement
- 2+ years in the stock broking / mutual fund / PMS industry, relevant knowledge of AMFI / SEBI-related compliance CS / LLB candidates will be an advantage but not compulsory
- Communication Skills: Excellent
Salary Range : upto 6 LPA, Based on industry standards and relevant experience
Incentives / Bonuses : Performance and activity based incentives
Learning Opportunities : Mentoring, Training and development, learning opportunities on multiple asset classes and products
Other Benefits : PF, GMC, Leave policy, flexi hours, etc.
Email Subject Line Format : Compliance executive
Hiring Manager Details
[Confidential Information]
