Compliance & Governance

Seven N Half; Mumbai; On-site; INR 1,500,000 - 2,100,000; Full time

Job summary

Seven N Half in Mumbai is seeking a seasoned Compliance & Governance professional to lead end-to-end regulatory compliance for PMS and AIF businesses. The role requires hands-on expertise to implement policies, monitor SEBI regulations, and interact with regulators, auditors, trustees, and internal stakeholders.

You will translate complex rules into actionable SOPs, manage filings, reporting, audits, and disclosures, and drive governance improvements.

Qualifications

• Hands-on role requiring strong regulatory understanding.
• Ability to translate regulations into internal policies and controls.
• Manage regulatory filings and reporting across PMS and AIF.

Responsibilities

• Ensure ongoing compliance with SEBI (AIF) and SEBI (PMS) regulations and circulars.
• Act as designated Compliance Officer for PMS/AIF entities.
• Monitor regulatory updates and assess impact on operations.
• Interpret regulations and translate into internal policies, SOPs and controls.
• Oversee regulatory filings including SEBI periodic submissions and investor reporting.
• Support audits, certifications, and disclosures; ensure timely submissions.

Skills

Regulatory compliance

Governance & controls

SEBI regulations

Policy development

Audits & reporting

Education

Bachelor's degree in Finance/Law/Related field

Tools

SEBI portals (SI Portal)

Job description

Role Overview

• We are looking for a seasoned Compliance & Governance professional to manage end-to-end regulatory compliance for our Portfolio Management Services (PMS) and Alternative Investment Funds (AIF) businesses. The role will be responsible for ensuring adherence to SEBI regulations, strengthening governance frameworks, and acting as a key point of contact with regulators, auditors, trustees, and internal stakeholders.
• This is a hands‑on role requiring strong regulatory understanding, practical implementation skills, and the ability to independently manage compliance operations across products.

Key Responsibilities

Regulatory & Compliance

• Ensure ongoing compliance with SEBI (AIF) Regulations, SEBI (PMS) Regulations,and relevant circulars, guidelines, and amendments.
• Act as the designated Compliance Officer for PMS and/or AIF entities (as applicable).
• Monitor regulatory updates and proactively assess impact on business operations.
• Interpret regulations and translate them into internal policies, SOPs, and controls.

Filings, Reporting & Documentation

• Oversee and manage all regulatory filings including:
• SEBI periodic submissions (quarterly/half-yearly/annual)
• Investor reporting
• Trustee and sponsor reporting (for AIF)
• Audits, certifications, and disclosures
• Ensure timely and accurate submissions on SEBI portals (SI Portal, Intermediary Portal, etc.).
• Maintain statutory records, compliance trackers, registers, and audit trails.

Governance & Risk

• Develop and strengthen governance frameworks, compliance manuals, and internal
• policies.
• Conduct periodic compliance testing and risk assessments.
• Support internal audits, regulatory inspections, and external audits.
• Address audit observations and drive closure of gaps.