Operations

Company: Edha Wealth

Location: Parel, Mumbai

Website: https://www.edhawealth.com

Salary: min. 10 LPA

Designation: Compliance & Operations Officer- PMS (Mumbai)

Experience: 3 to 5 Years with PMS-Compliance

Working days / hours:

Days Mon. to Fri.

Time : 9 am to 6pm

Knowledge Area:
• Portfolio Management
• PMS Compliance & Operations
• Policy & procedures

Key Responsibility Areas
• Develop and implement an effective legal compliance program. Manager Internal / External and Statutory Audits
• Create sound internal controls and monitor adherence to them
• Draft and revise company policies
• Proactively audit processes, practices and documents to identify weaknesses • Evaluate business activities (e.g. investments) to assess compliance risk
• Collaborate with external auditors when needed
• Close co-ordination with internal and external stakeholder
• Account creation in PMS Software, Trade Allocation in software
• Corporate action settlement in client account, Custody & interest entry in client account
• Maintaining control on Standard Operating Procedure (SOP)
• Drafting/ vetting of the Referral Agreement, Lead Broker Agreement, Service Agreement, Empanelment Agreements, Business Associate Agreement and other Agreements as the case may be
• All other work related to Compliance and Legal of the Company
• Handling the Portfolio Management related Compliance at initial level which include reporting monthly compliance, Distribution Agreement, KYC documents scrutiny and follow up
• Periodic SEBI Disclosures & Compliance

Job Type: Full-time

Salary: ₹1,000,000.00 - ₹1,200,000.00 per year

Schedule:
• Morning shift

Experience:
• Compliance & Operations Officer- PMS: 3 years (Required)
• Portfolio management: 3 years (Required)

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