We are looking to hire a mid level compliance and operations manager for our Client. The person should have a minimum of 2 years of experience in managing compliance and operations of a Portfolio Management Services (PMS)/AIF/Mutual Fund in India. The person needs to work out of our Client's office in Gurgaon.
The specific job expectations are:
- Oversee the end to end SEBI compliance requirement of a PMS
- Responsible for timely preparation and submission of all documents to SEBI and other stakeholders like APMI.
- Ensure proper KYC compliance of all PMS clients.
- Be hands on in execution and enablement of all SEBI PMS policies.
- Lead annual PMS compliance audit. Liaison with PMS auditors to ensure smooth and timely completion of annual audit.
- Ensure all SEBI mandated processes like AML, SCOREs, Insider Trading, Website compliance are adhered to.
- The role requires the personnel to reach out to the clients for compliance requirements.
- Should have excellent verbal and written communication skills.
- Should be able to work in a small team. We are looking for someone who is an individual contributor with an ownership mindset.
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