Job Description

Responsibilities:

1. Regulatory Compliance: Ensure compliance with SEBI regulations,

circulars, and guidelines pertaining to portfolio management services.

Stay updated on regulatory changes and communicate implications to

relevant stakeholders.

2. Internal Policies: Develop and implement internal compliance policies

and procedures in alignment with regulatory requirements. Monitor

compliance with internal policies and initiate corrective actions as

needed.

3. Documentation and Reporting: Maintain accurate and up-to-date

documentation related to compliance activities, including regulatory

filings, reports, and records. Prepare and submit compliance reports

to regulatory authorities as required.

4. Risk Assessment : Conduct periodic risk assessments to identify

compliance risks and vulnerabilities. Develop and implement risk

mitigation strategies to address identified risks effectively.

5. Training and Awareness: Provide training and guidance to employees

on compliance matters, including SEBI regulations, internal policies,

and procedures. Foster a culture of compliance awareness and

adherence throughout the organization.

6. Investigations and Resolution: Investigate compliance breaches,

incidents, and complaints. Take appropriate corrective and preventive

actions to address issues and prevent recurrence.

7. Audit Support: Coordinate and support internal and external audits

related to compliance matters. Collaborate with auditors to provide

necessary documentation and facilitate audit processes.

Job Type: Full-time

Pay: ?900,000.00 - ?1,000,000.00 per year

Schedule:

• Day shift

Work Location: In person