Compliance Officer | SEBI PMS Regulations | A PMS Co.

<p>Responsible for safeguarding and enhancing the firm's compliance reputation by ensuring adherence to all internal policies and external regulatory requirements. Ensure timely and accurate compliance with SEBI PMS Regulations by updating internal policies and executing all the regulatory requirements. </p> <p>Roles and responsibilities: • Handling regulatory compliances such as regulatory reports submission, audits, regulatory inspections and regulatory queries and investigations.</p> <p>• Keeping track of regulatory developments such as regulations, circulars and any other regulatory notifications. Creating awareness of these developments and liaising with stakeholders for its timely implementation. • Addressing queries from relevant businesses on regulatory and internal compliance provisions. • Approval of marketing materials, product notes, research report templates, periodic and adhoc communications to clients. • Approve new products and new business proposals. • Monitoring employee compliances with regulatory obligations such as employee trading, NISM/EUIN certification. • Keep track and update internal policies. Monitor adherence by stakeholders. • Conduct training to create awareness on regulatory provisions and developments and strengthen the compliance culture. • Carry out monitoring and testing to check adherence of regulatory and internal requirements and facilitate remediation of findings. • Ensure timely and accurate compliance with SEBI PMS Regulations by updating internal policies and executing all the regulatory requirements. • Oversee client onboarding process by ensuring all KYC (Know Your Customer), AML (Anti-Money Laundering) & Prevention of Money Laundering (PMLA) requirements are met by internal team members. • Confirm timely and accurate compliance by external consultants like CA, internal auditors, and team members across different regulatory authorities like Ministry of Company Affairs (MCA), Income Tax (IT), General Sales Tax (GST), Labour Laws, Trademark Rights etc. • Maintain proper documentation and an organized database of all compliance activities, including client records, regulatory filings, and audit findings. • Review and approve all agreements and other critical documents. • Foster leadership development among junior team members. </p> <p>Soft Skills: • Good understanding of relevant business activities. • Good communication skills and ability to engage with stakeholders at different levels. • Work with the larger Group Compliance team and proactively step-in to ensure that the team meets its targets. • Multi task, quick learning, ability to analyze situation and provide effective guidance, ability to work independently.</p> <p>4-5 years of experience in handing Compliance responsibilities for stock broking / research / portfolio management / AIF. Prefer prior experience working in broking, portfolio management services or asset management firms is mandatory. Educational Qualification: CS / CA / MBA / Other Graduate from Stoke Broking experience will be considered</p>