Compliance Officer

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: - ( - )

Experience: 1+ yrs

Location: Mumbai

Job Type: Full-time

We are looking for a detail-oriented Compliance Officer – PMS to support and oversee compliance activities within a Portfolio Management Services (PMS) setup.

The role will be responsible for ensuring that business and operational activities are aligned with applicable regulatory requirements, internal policies, and compliance standards. The ideal candidate will work closely with internal stakeholders to monitor compliance, maintain accurate records, support regulatory processes, and identify and address potential compliance risks.

Key Responsibilities

• Monitor day-to-day activities to ensure compliance with applicable PMS regulations, regulatory guidelines, and internal policies.
• Support the implementation and maintenance of effective compliance frameworks, policies, and standard operating procedures.
• Conduct periodic compliance reviews and identify potential regulatory gaps, risks, and areas requiring corrective action.
• Maintain and update compliance records, registers, documentation, and regulatory filings.
• Support timely preparation and submission of applicable regulatory reports and compliance returns.
• Monitor adherence to internal controls, processes, and regulatory requirements across relevant business functions.
• Coordinate with internal teams to resolve compliance observations and ensure timely closure of corrective actions.
• Assist with regulatory audits, inspections, reviews, and information requests.
• Keep track of regulatory updates and assess their impact on PMS operations and internal processes.
• Support the development and implementation of compliance-related policies, procedures, and employee awareness initiatives.
• Maintain appropriate documentation and evidence to ensure the organization remains audit-ready and regulatory compliant.
• Escalate potential compliance breaches or significant regulatory risks to the appropriate stakeholders.

What Makes You a Great Fit

• 1+ years of experience in compliance, preferably within Portfolio Management Services, wealth management, asset management, financial services, or a regulated financial environment.
• Basic understanding of PMS operations and applicable regulatory requirements.
• Strong attention to detail and ability to maintain accurate compliance documentation and records.
• Familiarity with regulatory reporting, compliance monitoring, audits, and internal controls.
• Ability to interpret regulatory requirements and translate them into practical operational processes.
• Strong analytical and problem-solving skills with a proactive approach to identifying compliance risks.
• Good written and verbal communication skills with the ability to coordinate effectively with internal stakeholders.
• Strong organizational skills and the ability to manage multiple compliance activities and deadlines.
• High level of integrity, confidentiality, accountability, and professional judgment.
• A proactive mindset with an interest in staying updated on evolving financial services and PMS regulations.