Compliance (Portfolio Management Services)

This role is for one of Weekday’s clients
Min Experience: 4 years
JobType: full-time

We are seeking an experienced Compliance Professional with 5+ years of expertise in the financial services sector, specifically in managing compliance aspects of Portfolio Management Services (PMS). The ideal candidate will possess a strong understanding of regulatory frameworks, reporting standards, and compliance monitoring practices. This role demands a high degree of accuracy, regulatory awareness, and the ability to collaborate across functions to ensure seamless compliance operations.

The Compliance professional will be responsible for regulatory submissions, updating compliance policies, reviewing circulars, handling inspections, and guiding internal teams. This role is integral to protecting the organization’s reputation, ensuring legal compliance, and fostering a culture of integrity and governance.

Key Responsibilities

• Compliance Management: Oversee and manage all compliance-related aspects of Portfolio Management Services (PMS) in accordance with SEBI and other regulatory guidelines.
• Regulatory Filings: Ensure timely and accurate preparation, review, and submission of all regulatory filings, returns, and reports. Maintain proper documentation and records for audits and inspections.
• Policy Review & Implementation: Regularly review, update, and implement compliance policies to align with the latest regulations and business practices.
• Circulars & Guidelines: Monitor and interpret new circulars, notifications, and guidelines released by regulators. Discuss with relevant teams, create actionable plans, and ensure effective implementation.
• Transaction Oversight: Ensure that all PMS-related transactions are executed in strict compliance with regulatory requirements and within stipulated timelines.
• Regulatory Liaison: Build and manage strong relationships with regulatory bodies. Act as a point of contact during inspections, queries, and observations. Support management in drafting responses to regulators.
• Audit & Inspection: Oversee internal and external compliance inspections, ensuring timely completion and closure of audit points.
• Document Review: Review disclosure documents, KYC forms, contracts, and other regulatory documents to ensure compliance with SEBI regulations.
• Grievance Redressal: Address and resolve compliance-related queries from internal teams and customers in a timely and professional manner.
• Employee Training: Conduct periodic training sessions for employees on compliance requirements, AML, Insider Trading, and regulatory best practices to strengthen the compliance culture within the organization.
• Risk Mitigation: Proactively identify compliance risks, suggest improvements, and implement corrective actions.

Key Skills & Qualifications

• Bachelor’s degree in Law, Commerce, Finance, or related field; additional certifications in Compliance, Company Secretary (CS), or equivalent preferred.
• 5–6+ years of hands-on compliance experience, specifically within Portfolio Management Services or related financial services.
• Strong understanding of SEBI guidelines, AML practices, Insider Trading regulations, and KYC norms.
• Proven track record in regulatory liaison, audits, inspections, and policy implementation.
• Excellent communication skills with the ability to collaborate effectively with internal teams and external regulators.
• High attention to detail, strong problem-solving skills, and ability to work under pressure.
• Proficiency in compliance tools, MS Office, and record-keeping systems.