PMS Compliance Officer

Edelweiss Group; Mumbai; On-site; INR 2,800,000 - 4,500,000; Full time

Job summary

Edelweiss Group in Mumbai seeks an experienced compliance and governance professional to oversee end-to-end regulatory coverage for Edelweiss Alternatives funds. The role involves SEBI filings, coordination with regulators, and maintaining regulatory records.

The candidate will file monthly/quarterly reports, prepare investor communications, support audits, and implement circulars and group policies while working with multiple stakeholders in a high-volume, fast-paced environment.

Qualifications

• 8+ years of experience in compliance and governance
• Experience in AIF/AMC preferred
• Stakeholder management and cross-team collaboration
• Ability to handle high-volume, fast-paced workloads
• Strong oral and written communication skills

Responsibilities

• Provide end-to-end compliance coverage for Edelweiss Alternatives funds
• Prepare and file SEBI applications, coordinating with SEBI officials
• Review and file monthly/quarterly SEBI reports
• Prepare communications to SEBI/regulators and investors
• Respond to queries from business teams
• Implement circulars and group policies
• Maintain regulatory records and prepare dashboards for filings
• Support audits and coordinate with internal/external auditors
• Assist in system developments and automation initiatives
• Prepare minutes of the IMB board for AIF activities

Skills

Compliance governance

Regulatory filings

Stakeholder management

Communication skills

Problem solving

Job description

8 - 10 Years

Permanent

Job Description

Detailedjob description:

• Providing end-to-end compliance coveragefor all Edelweiss Alternatives investment funds
• Preparing and filing applications with SEBI,and coordinating with SEBI officials for obtaining registration
• Reviewing documents pertaining to SEBIapplication, IMA, contribution agreements, product note and investorcommunication
• Reviewing and filing monthly/ quarterlyreports with SEBI
• Preparation of communication to SEBI/regulators for event-based filings and reviewing communication being sent to investors.
• Responding to and resolving queries raisedby business teams
• Implementing circulars and group level/other policies within Edelweiss Alternatives
• Ensuring compliance with PIT policy
• Maintaining and upkeeping regulatoryrecords
• Preparing dashboards and trackers for regulatory reportings/ filings
• Supporting in development andimplementation of policies, procedures, other documents and establishment andmaintenance of processes and controls governing business activities, such asmanuals, codes of conduct, practice notes, and the likes, to comply withapplicable laws, rules and regulations.
• Assessing the adequacy of compliancepolicies, procedures and guidelines, resolving any identified deficiencies, andformulating proposals for revisions or amendments
• Providing comprehensive support duringregulatory audits, inspection and queries
• Coordinating with internal auditors forproviding data and clarifications
• Assisting in statutory, internal andspecial audits by collating data, and conducting preliminary review
• Preparing agenda and minutes of the IMBoard for AIF business activities
• Assisting in various system developmentsand automation initiatives
• 8+ years of experience and workingknowledge in compliance and governance function
• Experience in AIF/AMC preferred
• Ability to manage stakeholders, collaborateacross teams and build relationships
• Ability to work in a high volume,fast-paced environment with shifting priorities
• Demonstrated problem-solving andsolution-orientation with limited directions
• Articulate, and able to express thoughtsclearly in oral as well as written communication