PMS Compliance Manager

We are actively seeking a meticulous and highly knowledgeable PMS (Portfolio Management Services) Compliance Manager to join our client's team through Acme Services. This pivotal role requires 2-3 years of experience in PMS/AIF/MF compliances, with a strong understanding of SEBI PMS Regulations, Companies Act 2013, AML/PMLA, and Insider Trading regulations. The ideal candidate will be responsible for ensuring strict compliance with all regulatory frameworks, developing and maintaining compliance documentation, assisting with AML/PMLA & Insider Trading compliance, and providing crucial support during various audits related to PMS operations.

Key Responsibilities

• SEBI PMS Regulations Compliance: Ensure comprehensive and strict compliance with SEBI PMS Regulations across all aspects of the Portfolio Management Services operations.
• Compliance Documentation & Tracking: Develop and meticulously maintain Compliance Manuals, Checklists, Tracking mechanisms, and Reporting frameworks to ensure systematic adherence to regulatory requirements.
• AML/PMLA & Insider Trading Support: Provide essential assistance in ensuring compliance with AML (Anti-Money Laundering)/PMLA (Prevention of Money Laundering Act) & Insider Trading Regulations, safeguarding against financial crimes and unethical practices.
• Audit Assistance: Actively assist in concurrent, internal, and statutory audits related to PMS, providing necessary documentation, explanations, and support to ensure smooth audit processes.
• Regulatory Updates: Stay abreast of all relevant regulatory changes and updates pertaining to PMS, AIF, and Mutual Funds, and disseminate information to relevant stakeholders.

Skills

• 2-3 years of experience in PMS/AIF/MF compliances.
• In-depth knowledge of SEBI PMS regulations.
• Familiarity with the Companies Act 2013.
• Understanding of AML/PMLA & Insider Trading regulations.
• Strong ability to develop and maintain Compliance Manuals, Checklists, Tracking, and Reporting systems.
• Excellent analytical skills and attention to detail.
• Strong communication skills, both written and verbal.

Qualifications

• Bachelor's degree in Law, Finance, Commerce, or a related field.
• Proven experience in a compliance role within the Portfolio Management Services, Alternative Investment Funds, or Mutual Funds sector.
• Relevant professional certifications (e.g., NISM certifications) are a plus.