PMS Audit
PMS Audit
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Job Description
Job Description:
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Conduct internal audits of PMS schemes and Investment Advisory services in line with SEBI (Securities and Exchange Board of India) regulations and circulars.
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Evaluate the adequacy and effectiveness of internal controls processes and compliance systems.
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Review investment processes client onboarding KYC/AML compliance reporting standards and disclosures for adherence to regulatory norms.
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Verify that transactions and investment decisions are aligned with the client mandate and SEBI guidelines.
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Prepare detailed audit reports highlighting findings risk implications and actionable recommendations.
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Liaise with operations compliance risk and portfolio teams to ensure prompt resolution of audit observations.
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Stay updated on changes in SEBI regulations PMS guidelines and advisory frameworks.
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Assist in periodic compliance testing and regulatory reporting as needed.
Employment Type
Full-time
