Company Secretary PMS Compliance

Intellectual Capital HR Consulting Pvt. Ltd.; Lucknow; On-site; INR 1,000,000 - 1,800,000; Full time

Benefits offered by this job

Front-seat role in PMS governance

Exposure to regulators and auditors

Competitive compensation in 10-18 LPA

Job summary

Intellectual Capital HR Consulting Pvt. Ltd. is seeking a compliance professional to manage PMS regulatory compliance, investor onboarding, and secretarial support for the PMS desk, coordinating with legal, operations, risk and senior management.

The role covers SEBI compliance, policy drafting, AML/KYC, ROC/SEBI (LODR) filings, board governance support and risk controls; CS and related certifications, 2–6 years experience in capital markets compliance are required.

Qualifications

• Qualified CS with ICSI membership.
• LLB/CA/CFA/NISM certifications are advantageous.

Responsibilities

• Ensure day-to-day compliance with SEBI (Portfolio Managers) Regulations and relevant circulars.
• Draft, review and update PMS policies, SOPs, code of conduct, dealing and allocation policy.
• Monitor regulatory changes (SEBI / RBI / Exchanges / Depositories) and implement changes in processes and documentation.
• Oversee PMS client onboarding KYC, FATCA, UBO, risk profiling, suitability, investment agreements and PoA documents.
• Ensure robust AML / CFT checks, risk classification of clients, and maintenance of complete documentation trails.
• Support onboarding of FPIs / NRI / HNI clients, including FEMA/SEBI-related documentation.

Skills

Drafting skills

Regulatory interpretation

Attention to detail

Stakeholder comms

Education

CS (ICSI)

Other certifications (LLB/CA/CFA/NISM)

Job description

Role & responsibilities

Role Summary

You will be responsible for PMS regulatory compliance, investor onboarding

documentation, statutory filings and secretarial support for the PMS desk, while

coordinating closely with legal, operations, risk, dealing and senior management. The role

suits someone who enjoys structured processes, regulatory interpretation and hands-on execution.

Key Responsibilities

1. PMS & SEBI Compliance

• Ensure day-to-day compliance with SEBI (Portfolio Managers) Regulations and relevant circulars.


• Draft, review and periodically update PMS policies, SOPs, code of conduct, dealing and allocation policy.


• Monitor regulatory changes (SEBI / RBI / Exchanges / Depositories) and implement required changes in processes and documentation.

2. Investor Onboarding & Documentation

• Oversee PMS client onboarding KYC, FATCA, UBO, risk profiling, suitability, investment agreements and PoA documents.


• Ensure robust AML / CFT checks, risk classification of clients, and maintenance of complete documentation trails.


• Support onboarding of FPIs / NRI / HNI clients, including FEMA/SEBI-related documentation where applicable.

3. Filings, Reporting & Inspections

• Prepare and file periodic PMS reports (monthly/quarterly/annual) with SEBI and other regulators as applicable.


• Coordinate for SEBI inspections, internal and external audits, including data collation and response to observations.


• Liaise with Company Secretarial team on ROC, SEBI (LODR) and other group-level compliance items impacting PMS.

4. Secretarial & Governance Support

• Assist in preparation of Board / Committee agendas, notes, resolutions and minutes relating to PMS.


• Maintain statutory registers, records and approvals for PMS-related matters.


• Review marketing material, product notes and investor communication for regulatory and disclosure compliance.

5. Controls, Internal Audit & Risk

• Implement and monitor compliance checklists for PMS investment restrictions, client-wise guidelines, documentation completeness.


• Support internal audit / compliance reviews and drive closure of action points within agreed timelines.

Candidate Profile

Qualifications

• Qualified Company Secretary (CS) - ICSI membership mandatory.


• LLB / CA / CFA / NISM capital markets certifications will be an added advantage.

Experience

• 2-6 years of experience in compliance / secretarial roles within PMS / AIF / wealth management / broking / listed company or similar capital markets setup.


• Exposure to SEBI regulations, AML / KYC, ROC filings, SEBI (LODR), FEMA will be preferred.

Skills & Attributes

• Strong drafting and documentation skills (policies, agreements, board notes, regulatory correspondence).


• Comfort with regulatory interpretation, audits and inspections.


• High attention to detail, ownership mindset and ability to work under timelines.


• Strong interpersonal skills to work with cross-functional teams and senior stakeholders.

What We Offer

• A front-seat role in shaping the PMS compliance and governance framework within a fast-growing, tech-driven platform.


• Exposure to senior management, regulators, auditors and the broader capital markets ecosystem.


• Competitive compensation in the 10-18 LPA range, commensurate with experience and capability.