Description
We are looking for a Manager - Compliance (PMS) to join our team at Groww. As a Manager - Compliance (PMS), you will be responsible for ensuring compliance with applicable PMS regulations, managing compliance requirements related to wealth management services, overseeing digital compliance, and monitoring risk and internal audit functions.
Key Responsibilities:
- Ensure compliance with applicable PMS regulations, including onboarding, online offerings, approval workflows, advertising, segregation of activities, and monitoring of investment and operational compliance.
- Manage compliance requirements related to the distribution of financial products and wealth management services.
- Oversee compliance for app- and web-based offerings, including the Digital Personal Data Protection (DPDP) framework and other applicable regulations.
- Monitor the establishment and functioning of Risk Control and Internal Audit functions, ensuring effective regulatory checks and controls.
- Manage Anti-Money Laundering (AML) compliance, transaction surveillance, and related monitoring activities.
Qualifications:
- CA / CS / MBA or equivalent professional qualification.
- 4-5 years of relevant experience in the securities market, preferably in Asset Management or Portfolio Management Services (PMS).
- Strong understanding of applicable regulatory frameworks, compliance monitoring, and risk control processes.