Compliance Officer – AIF, PMS & Investment Advisory

About the role

We are seeking a compliance professional to independently manage regulatory compliance for our SEBI‑regulated Alternative Investment Fund (AIF), Portfolio Management Services (PMS) and Investment Advisory businesses in Mumbai.

Key responsibilities

• Monitor and ensure adherence to SEBI regulations, circulars and guidelines for AIF, PMS and Investment Advisory.
• Track regulatory developments, maintain a compliance calendar and provide guidance to business and operations teams.
• Review scheme documentation, investment restrictions, disclosures and investor reporting for AIF and PMS.
• Conduct periodic compliance testing, identify gaps and recommend corrective actions.
• Coordinate timely regulatory filings and maintain a repository of submissions.
• Draft, update and communicate compliance policies, SOPs and internal controls.
• Oversee KYC, AML and PMLA requirements, including screening and sanctions checks.
• Liaise with internal and external auditors and respond to regulatory queries.

Required profile

• 3–5 years of experience in compliance or regulatory roles within asset management, AIF, PMS or investment advisory.
• Strong practical knowledge of SEBI regulations applicable to AIF, PMS and Investment Advisers.
• Ability to interpret regulatory requirements and implement effective compliance processes.
• Excellent verbal and written communication skills with strong attention to detail.