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:

• Strong knowledge of SEBI PMS regulations.
• Understanding of Companies Act 2013.
• Knowledge of AML/PMLA regulations.
• Knowledge of Insider Trading regulations.
• Ability to develop and maintain compliance manuals, checklists, tracking, and reporting systems.
• Capability to assist in various audits related to PMS.
• Strong attention to detail and analytical skills.
• Excellent communication skills, both written and verbal