Compliance Officer

Systematix Private Wealth; Mumbai; On-site; INR 4,000,000 - 6,000,000; Full time

Job summary

Systematix Private Wealth seeks a seasoned Compliance Officer to independently lead regulatory and legal compliance for SEBI-regulated wealth management businesses including PMS, AIF, RIA, RA, and MFD. The role requires deep SEBI expertise, hands-on filings, inspections, and audits, and the ability to advise business and leadership on governance and controls.

The ideal candidate will drive a strong compliance culture across functions, ensuring timely regulatory submissions and robust

Qualifications

• 10-15 years of relevant Compliance experience in wealth management or SEBI-regulated financial services.
• Strong understanding of SEBI regulations for PMS, AIF, RIA, RA, and MFD.
• Hands-on experience with regulatory filings, inspections, and audits.
• Ability to translate complex regulations into actionable business guidance.

Responsibilities

• Independently manage regulatory and legal compliance for SEBI-regulated businesses (PMS, AIF, RIA, RA, MFD).
• Interpret SEBI regulations, circulars, and regulatory updates and drive implementation.
• Ensure timely regulatory filings, submissions, reports, and disclosures.
• Maintain compliance records, registers, and audit trails.
• Review contracts and investor documents for regulatory compliance.
• Provide support for new business initiatives and product launches.
• Coordinate SEBI inspections, audits, and closure of observations.
• Strengthen governance and internal controls with senior management.

Skills

Regulatory compliance

SEBI regulations

Audits & filings

Stakeholder management

Legal interpretation

MS Excel

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.