Manager - Compliance (PMS)

About the role

The Manager - Compliance (PMS) will oversee regulatory compliance for Portfolio Management Services and wealth management offerings. This role involves managing digital compliance, AML surveillance, and internal audit functions to ensure adherence to financial regulations.

Responsibilities

• Ensure compliance with applicable PMS regulations, including onboarding, online offerings, approval workflows, advertising, 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.
• Monitor the establishment and functioning of Risk Control and Internal Audit functions.
• Manage Anti-Money Laundering (AML) compliance, transaction surveillance, and related monitoring activities.

Required skills

• PMS Compliance
• Wealth Management
• Digital Compliance
• AML
• Risk Control
• Internal Audit
• Regulatory Frameworks

Qualifications

• CA
• CS
• MBA or equivalent professional qualification

About the Company

Groww is a financial services company focused on making financial services accessible to every Indian through a multi-product platform. The company is driven by values such as radical customer centricity, ownership, and transparency.