Compliance & Governance at Seven N Half in Mumbai

Role Overview

• We are looking for a seasoned Compliance & Governance professional to manage end-to-end regulatory compliance for our Portfolio Management Services (PMS) and Alternative Investment Funds (AIF) businesses. The role will be responsible for ensuring adherence to SEBI regulations, strengthening governance frameworks, and acting as a key point of contact with regulators, auditors, trustees, and internal stakeholders.
• This is a hands-on role requiring strong regulatory understanding, practical implementation skills, and the ability to independently manage compliance operations across products.

Key Responsibilities:

Regulatory & Compliance

• Ensure ongoing compliance with SEBI (AIF) Regulations, SEBI (PMS) Regulations,and relevant circulars, guidelines, and amendments.
• Act as the designated Compliance Officer for PMS and/or AIF entities (as applicable).
• Monitor regulatory updates and proactively assess impact on business operations.
• Interpret regulations and translate them into internal policies, SOPs, and controls.
• Filings, Reporting & Documentation
• Oversee and manage all regulatory filings including:
• SEBI periodic submissions (quarterly/half-yearly/annual)
• Investor reporting
• Trustee and sponsor reporting (for AIF)
• Audits, certifications, and disclosures
• Ensure timely and accurate submissions on SEBI portals (SI Portal, Intermediary Portal, etc.).
• Maintain statutory records, compliance trackers, registers, and audit trails.

Governance & Risk

• Develop and strengthen governance frameworks, compliance manuals, and internal
• policies.
• Conduct periodic compliance testing and risk assessments.
• Support internal audits, regulatory inspections, and external audits.
• Address audit observations and drive closure of gaps.