Compliance Manager

Allvest Securities Pvt. Ltd.; Kurla; On-site; INR 1,200,000 - 2,200,000; Full time

Job summary

Allvest Securities Pvt. Ltd. seeks a Compliance Officer with AIF and PMS regulatory expertise. You will ensure SEBI compliance, manage filings, coordinate audits, and monitor frameworks across AIF and PMS lines of business.

The role involves reviewing KYC/AML, FATCA/CRS, and investor disclosures while coordinating with Trustees, Custodians, and Regulators to mitigate risk. Strong analytical and documentation skills are essential.

Qualifications

• Graduate or postgraduate in finance, commerce, law or related field.
• CS/CA/MBA Finance or related professional qualification preferred.
• NISM certifications related to Securities Markets, Compliance, PMS or AIF are a plus.

Responsibilities

• Ensure compliance with SEBI regulations applicable to AIF and PMS businesses.
• Monitor and implement regulatory circulars, notifications, and guidelines by SEBI and others.
• Prepare and submit periodic regulatory filings, compliance reports, and disclosures.
• Coordinate with Trustees, Custodians, Fund Accountants, Auditors, Regulators.
• Review investor onboarding, KYC, AML, FATCA, and CRS requirements.
• Conduct compliance testing and monitor policy adherence.
• Assist in preparation of CTRs, Trustee Reports, and investor disclosures.
• Support statutory, internal, and regulatory inspections.
• Maintain compliance records, registers, policies, SOPs and documentation.
• Identify compliance gaps and recommend corrective actions.
• Provide compliance guidance to business and operations teams.

Skills

AIF Regulations

PMS Regulations

SEBI Compliance

Regulatory Reporting

KYC & AML Compliance

FATCA & CRS

Compliance Testing

Audit & Inspection Management

Investor Reporting

Stakeholder Management

MS Excel & MIS Reporting

Education

Graduate/Postgraduate in Finance

Professional qualification (CS/CA/MBA Finance)

NISM certifications related to Securities Markets, Compliance, PMS, or AIF

Tools

MS Excel

Job description

We are seeking a Compliance Officer with experience in Alternative Investment

Funds (AIF) and Portfolio Management Services (PMS) regulatory compliance. The

candidate will be responsible for ensuring compliance with SEBI regulations,

managing regulatory filings, coordinating audits, monitoring compliance frameworks,

and supporting regulatory inspections.

Key Responsibilities:

• Ensure compliance with SEBI regulations applicable to AIF and PMS businesses.
• Monitor and implement regulatory circulars, notifications, and guidelines issued by SEBI and other regulatory authorities.
• Prepare and submit periodic regulatory filings, compliance reports, and disclosures within prescribed timelines.
• Coordinate with Trustees, Custodians, Fund Accountants, Auditors, and Regulatory Authorities.
• Review investor onboarding documentation, KYC, AML, FATCA, and CRS compliance requirements.
• Conduct compliance testing and monitor adherence to internal policies and regulatory obligations.
• Assist in preparation of Compliance Test Reports (CTR), Trustee Reports, PPM-related compliance requirements, and investor disclosures.
• Support statutory audits, internal audits, compliance audits, and regulatory
• inspections.
• Maintain compliance records, registers, policies, SOPs, and regulatory
• documentation.
• Identify compliance gaps and recommend corrective actions to mitigate regulatory risks.
• Provide compliance guidance to business and operational teams.

Required Qualifications:

• Graduate/Postgraduate in Finance, Commerce, Law, or related field.
• CS, CA, MBA Finance, or relevant professional qualification preferred.
• NISM certifications related to Securities Markets, Compliance, PMS, or AIF will be an added advantage.

Experience Required:

• 3–8 years of experience in Compliance, AIF Operations, PMS Compliance, Asset Management, Wealth Management, or Financial Services.
• Hands-on experience in SEBI regulatory compliance, regulatory reporting, and audit coordination.

Key Skills:

• AIF Regulations
• PMS Regulations
• SEBI Compliance
• Regulatory Reporting
• KYC & AML Compliance
• FATCA & CRS
• Compliance Testing
• Audit & Inspection Management
• Investor Reporting
• Stakeholder Management
• MS Excel & MIS Reporting

Preferred Candidate Profile:

• Experience working with AIFs, PMS entities, Asset Management Companies, Wealth Management Firms, or Financial Institutions.
• Strong understanding of SEBI regulations and compliance frameworks.
• Excellent analytical, documentation, and communication skills.