Compliance Manager - Mutual Fund

Position Name - Compliance Manager - Mutual Fund

Location - Mumbai

Experience Range - 8-10 years, preferably from a Trustee background

Mandatory Requirement:

Strong background in compliance within the Mutual fund/Trustee/Financial Services domain, with expertise in regulatory frameworks, risk management, and governance processes.

Job Roles and Responsibilities:

- Oversee compliance activities for Trustee operations and ensure alignment with SEBI, RBI, and other regulatory requirements.

- Monitor regulatory changes and assess their impact on business operations.

- Draft, review, and update compliance policies, procedures, and manuals.

- Conduct compliance risk assessments and provide recommendations for risk mitigation.

- Ensure timely submission of regulatory filings, reports, and disclosures.

- Liaise with regulators, auditors, and internal stakeholders on compliance matters.

- Provide training and guidance to business teams on compliance requirements.

- Support the Group Compliance Head in driving compliance strategy and governance initiatives.

Qualification and Experience:

Experience: 810 years of experience in compliance, preferably from a Mutual fund, Trustee or related financial services background.

Education: Graduate/Postgraduate in Law, Finance, or related field; additional certifications (e.g., CS, CA, CFA, or compliance certifications) will be an advantage.

- Strong knowledge of SEBI regulations, Trustee obligations, fund compliance, and financial sector governance frameworks.

- Demonstrated ability to interpret and apply regulatory guidelines to business operations.

- Excellent analytical, communication, and stakeholder management skills.