Legal and Compliance Head

Job Title: Compliance Officer Department: Legal & Compliance Location: Delhi (Karol Bagh) Job Summary: We are looking for a meticulous and knowledgeable Compliance Officer to ensure regulatory adherence across SEBI Portfolio Management Services (PMS), GIFT City Stock Broking, GIFT City Alternative Investment Funds (AIFs), and other general legal and compliance areas. The ideal candidate will be responsible for coordinating with regulators, preparing timely filings, ensuring operational compliance, and managing a range of legal agreements to support business functions. Key Responsibilities: 1. SEBI Portfolio Management Services (PMS) Compliance: Ensure end-to-end compliance with SEBI (Portfolio Managers) Regulations, 2020. Prepare and file periodic reports and disclosures with SEBI. Monitor portfolio manager activities to ensure adherence to investment norms, disclosure requirements, and client agreements. Coordinate with auditors and internal teams for PMS audit and inspection readiness. 2. GIFT City Stock Broking Compliance: Ensure regulatory compliance with IFSCA and SEBI rules applicable to IFSC-based stock broking entities. Manage all filings, returns, and license-related documentation with IFSCA. Track changes in the regulatory landscape and implement timely compliance updates. 3. GIFT City AIF Compliance: Ensure compliance with IFSCA (Fund Management) Regulations applicable to Alternative Investment Funds. Oversee investor onboarding, fund disclosures, and regulatory filings. Maintain updated compliance registers and coordinate with fund administrators and legal counsel. 4. Legal Agreements & Miscellaneous Compliance: Draft, review, and manage various agreements including client agreements, vendor contracts, service agreements, and NDAs. Ensure legal documentation aligns with regulatory and operational policies. Support the business in legal risk assessments and interpretation of contractual obligations. Skills & Competencies: Strong knowledge of SEBI PMS Regulations, IFSCA framework, and relevant SEBI laws. Familiarity with GIFT City operational requirements is an advantage. Excellent written and verbal communication skills. High attention to detail and ability to manage multiple regulatory requirements. Website: https://www.smcindiaonline.com/ https://www.smcprivatewealth.com/ https://www.indiakeloan.com/ Note: This role demands high ethical standards, a deep understanding of the Indian and IFSC regulatory environment, and a proactive approach to regulatory change management. Show more Show less