Compliance Officer PMS Company Ludhiani CTC-9 LPA 6 Days

Job Summary:

Looking for a dedicated and meticulous Compliance Officer to ensure our operations comply with SEBI regulations and other applicable government laws. This role involves overseeing all compliance activities related to Portfolio Management Services and ensuring adherence to statutory requirements. The Compliance Officer will help foster a culture of integrity and transparency within the organization.

Key Responsibilities:

Monitor and ensure compliance with SEBI regulations, guidelines, and circulars relevant to Portfolio Management Services (PMS).

Manage and oversee all government compliance matters, including filing regulatory reports, maintaining records, and adhering to statutory obligations.

Develop, implement, and periodically review compliance policies and procedures to ensure alignment with regulatory requirements.

Coordinate with internal departments to promote understanding and compliance with all regulatory obligations.

Prepare and submit timely and accurate reports to regulatory bodies.

Conduct regular audits and compliance checks to identify potential risks or non-compliance issues and implement corrective measures.

Serve as the primary contact for regulatory inquiries, inspections, or audits conducted by SEBI or other governmental authorities.

Stay updated on changes in laws, regulations, and industry best practices, providing senior management with insights and recommendations.

Develop and conduct compliance training programs to enhance employee awareness of compliance standards and practices.

Liaise with external legal counsel, regulators, and other stakeholders as necessary.

Qualifications:

Company Secretary (CS) qualification is required.

A minimum of 3 years of experience in compliance, preferably within the financial services industry, PMS, or a related sector.

Strong knowledge of SEBI regulations and government laws applicable to Portfolio Management Services.

Proven ability to interpret regulatory requirements and apply them to business processes.

Excellent analytical, communication, and problem-solving skills.

High level of integrity, attention to detail, and organizational skills.

Skills:

Expertise in regulatory compliance and risk management.

Proficiency with compliance management software and tools.

Strong organizational and project management abilities.

Ability to handle confidential information with discretion and work independently.

Location: Ludhiana (Centra Green Office)

Days of Work: Monday to Saturday

Office Time: 9:30 AM to 6:00 PM

Benefits:

Professional development opportunities

A dynamic and growth-oriented work environment