Manager - Compliance (PMS)

Key Responsibilities:

• PMS Compliance: Ensure compliance with applicable PMS regulations, including onboarding, online offerings, approval workflows, advertising, segregation of activities, and monitoring of investment and operational compliance.
• Wealth Management Compliance: Manage compliance requirements related to the distribution of financial products and wealth management services.
• Digital Compliance: Oversee compliance for app- and web-based offerings, including the Digital Personal Data Protection (DPDP) framework and other applicable regulations.
• Risk & Internal Audit: Monitor the establishment and functioning of Risk Control and Internal Audit functions, ensuring effective regulatory checks and controls.
• AML & Surveillance: Manage Anti-Money Laundering (AML) compliance, transaction surveillance, and related monitoring activities.

Qualifications:

• CA / CS / MBA or equivalent professional qualification.

Experience:

• 4-5 years of relevant experience in the securities market, preferably in Asset Management or Portfolio Management Services (PMS).
• Strong understanding of applicable regulatory frameworks, compliance monitoring, and risk control processes.