Job Description
Chief Manager compliance
Job Purpose
To serve as the primary architect for the compliance framework of the newly launched Portfolio Management Services (PMS) and existing Alternative Investment Funds (AIF). You will ensure that all investment activities, client onboarding, and fund management practices adhere to SEBI (Portfolio Managers) Regulations, 2020 and SEBI (AIF) Regulations, 2012.
Key Responsibilities
1. PMS & AIF Regulatory Oversight
- Licensing & Documentation: Maintain the validity of SEBI registrations. Manage the Disclosure Document (DD) for PMS and Private Placement Memorandum (PPM) for AIFs, ensuring all amendments are certified and filed within 30 days of any material change.
- Investment Restriction Monitoring: Build automated checks to monitor Concentration Limits (e.g., ensuring PMS investments in unlisted securities or related part...