PMS Audit

Key Responsibilities and experience required for various audits:

PMS Audit:

 Conduct internal audits of PMS schemes and Investment Advisory services in line with SEBI

(Securities and Exchange Board of India) regulations and circulars.

 Evaluate the adequacy and effectiveness of internal controls, processes, and compliance

systems.

 Review investment processes, client onboarding, KYC/AML compliance, reporting standards, and

disclosures for adherence to regulatory norms.

 Verify that transactions and investment decisions are aligned with the client mandate and SEBI

guidelines.

 Prepare detailed audit reports highlighting findings, risk implications, and actionable

recommendations.

 Liaise with operations, compliance, risk, and portfolio teams to ensure prompt resolution of audit

observations.

 Stay updated on changes in SEBI regulations, PMS guidelines, and advisory frameworks.

 Assist in periodic compliance testing and regulatory reporting, as needed.

Job Types: Full-time, Permanent

Pay: ₹30,000.00 - ₹40,000.00 per month

Benefits:

• Health insurance
• Provident Fund

Schedule:

• Day shift
• Morning shift

Education:

• Bachelor's (Required)

Experience:

• PMS Audit, SEBI,AML,: 3 years (Required)

Work Location: In person