Compliance Manager

Position: Compliance Manager

Location: Mumbai

About Stallion Asset

Stallion Asset Private Limited is a SEBI-registered Portfolio Management Services (PMS) firm managing INR 9,500+ Crores in AUM, with a strong and growing presence in Indias investment management ecosystem. As we scale our business and expand across PMS, AIF and Mutual Funds, we are strengthening our Compliance function to build a robust, proactive and future-ready regulatory framework.

Key Responsibilities:

Corporate Secretarial & Governance

• Manage all corporate secretarial matters under the Companies Act, including Board and shareholder meetings, notices, agendas, minutes and statutory records.
• Ensure timely statutory filings with the MCA and other applicable authorities.
• Maintain statutory registers, corporate records and governance documentation.
• Coordinate with the Board, senior management, auditors and external legal/secretarial advisors.
• Support corporate actions, restructuring, amendments to constitutional documents and other corporate governance requirements.

SEBI & Regulatory Compliance - PMS & AIF

• Ensure compliance with applicable SEBI regulations and regulatory requirements relating to Portfolio Management Services (PMS) and Alternative Investment Funds (AIFs).
• Monitor regulatory developments, circulars, notifications and amendments issued by SEBI and other relevant regulators, and assess their impact on the business.
• Maintain and monitor regulatory compliance calendars for PMS, AIF and other applicable business activities.
• Ensure timely submission of regulatory filings, reports, disclosures and other statutory returns for PMS and AIF activities.
• Review and maintain compliance policies, SOPs, registers, disclosures and documentation across PMS and AIF businesses.
• Coordinate with internal teams to implement regulatory changes and ensure ongoing adherence to applicable regulations.
• Support regulatory inspections, audits, reviews and responses to observations or queries raised by SEBI and other regulatory authorities.

PMS & AIF Operations / Compliance

• Work closely with the Compliance, Operations, Finance, Investment and Client Servicing teams to ensure regulatory requirements are incorporated into business processes.
• Review and monitor compliance relating to PMS clients, AIF investors, investment structures, agreements, disclosures and reporting requirements.
• Assist in ensuring compliance with applicable investment, reporting, disclosure and governance requirements for PMS and AIF activities.
• Monitor compliance with applicable KYC, AML, PMLA and investor-related regulatory requirements.
• Support the preparation and review of investor communications, regulatory disclosures and compliance-related documentation.
• Maintain appropriate records and audit trails for regulatory and governance purposes.

Legal & Documentation

• Review and assist in drafting agreements, policies, undertakings, declarations, Board resolutions and other corporate/regulatory documents.
• Coordinate with external legal counsel, compliance consultants, auditors and other professional advisors.
• Provide compliance inputs on new business initiatives, products, structures and transactions.

Business Expansion & Regulatory Projects

• Support the organisation's expansion across PMS, AIF, Mutual Funds and other regulated financial products.
• Assist in regulatory and corporate structuring for new entities, products and business lines.
• Work with senior management on regulatory approvals, registrations, licences and ongoing compliance requirements for new initiatives.
• Contribute to strengthening the firm's overall corporate governance and regulatory compliance framework as the organisation scales.

Qualifications

• Qualified Company Secretary (CS) from the Institute of Company Secretaries of India (ICSI).
• 1-5 years of relevant experience in corporate secretarial and regulatory compliance, preferably within the financial services or asset management industry.
• Prior experience handling PMS and/or AIF compliance will be strongly preferred.