Compliance Officer

Systematix Private Wealth; Mumbai; On-site; INR 2,500,000 - 4,500,000; Full time

Job summary

Systematix Private Wealth is seeking a seasoned Compliance Officer to independently lead regulatory and legal compliance for its SEBI-regulated wealth management businesses, including PMS, AIF, RIA, RA, and MFD.

The ideal candidate will have deep SEBI expertise, hands-on experience with filings, inspections, and audits, and the ability to advise senior management to strengthen governance, controls, and compliance culture.

Qualifications

• 10–15 years of compliance experience in SEBI-regulated wealth/asset management.
• Strong understanding of SEBI regulations for PMS, AIF, Mutual Funds, RIA, and RA.
• Experience with regulatory filings, inspections, audits, and reporting.

Responsibilities

• Independently lead regulatory and legal compliance for SEBI-regulated businesses (PMS, AIF, RIA, RA, MFD).
• Interpret SEBI regulations and drive implementation across functions.
• Ensure timely regulatory filings, submissions, reports, and disclosures.
• Maintain compliance registers, records, and audit trails per regulatory requirements.
• Review investor documentation, contracts, and operations from compliance perspective.
• Provide legal and compliance support for new initiatives, product launches, and transactions.
• Coordinate SEBI inspections, audits, and closure of observations.
• Collaborate with Business, Legal, Risk, and Senior Management to strengthen governance and controls.
• Develop and update policies, SOPs, and governance frameworks; identify gaps and actions.
• Identify regulatory risks and recommend corrective actions.

Skills

Regulatory compliance

SEBI regulations

Stakeholder management

Regulatory filings

Audit coordination

Contract law

Corporate law

Attention to detail

Analytical skills

Tools

Excel

Microsoft Word

Job description

Job Title: Compliance Officer - Wealth Management / SEBI Regulated Businesses

Role Summary

We are looking for a seasoned Compliance professional to independently lead regulatory and legal compliance for our SEBI-regulated wealth management businesses including PMS, AIF, RIA, RA, and Mutual Fund Distribution.

The ideal candidate will have deep expertise in SEBI regulations, hands-on experience with filings, inspections, and audits, and the ability to act as a trusted advisor to business, legal, and senior management to build a strong compliance culture.

Key Responsibilities

• Independently manage regulatory and legal compliance for the Company's SEBI-regulated businesses, including Portfolio Management Services (PMS), Alternative Investment Funds (AIF), Registered Investment Adviser (RIA), Research Analyst (RA), and Mutual Fund Distribution (MFD).
• Interpret SEBI regulations, circulars, and regulatory updates, and drive implementation across business functions.
• Ensure timely completion of regulatory filings, statutory submissions, periodic reports, and disclosures.
• Maintain statutory records, compliance registers, documentation, and audit trails in accordance with regulatory requirements.
• Review agreements, investor documentation, business contracts, and operational documents from a regulatory and legal compliance perspective.
• Provide legal and compliance support for new business initiatives, product launches, corporate transactions, and operational changes.
• Coordinate and manage SEBI inspections, regulatory audits, internal audits, and compliance reviews, including timely closure of observations.
• Work closely with Business, Operations, Legal, Risk, and Senior Management to strengthen governance, internal controls, and compliance processes.
• Develop, review, and update compliance policies, SOPs, and internal governance frameworks. Identify gaps and recommend corrective actions
• Identify compliance gaps, assess regulatory risks, and recommend corrective actions to ensure adherence to applicable laws.

Desired Candidate Profile

• 10–15 years of relevant experience in Compliance within Wealth Management, Asset Management, PMS, AIF, Mutual Funds, or other SEBI-regulated financial services.
• Strong understanding of:
• SEBI Regulations applicable to PMS, AIF, Mutual Funds, RIA, and Research Analyst.
• Working knowledge of Corporate Law, Contract Law, FEMA, and Stamping & Registration requirements
• Hands-on experience in managing regulatory filings, inspections, audits, and compliance reporting.
• Strong ability to interpret regulations and provide practical compliance guidance to business teams.
• Excellent analytical, documentation, and stakeholder management skills.
• High attention to detail with the ability to identify regulatory and compliance risks.
• Proficient in Microsoft Excel and Microsoft Word.
• Ability to work independently in a dynamic and fast-paced environment.