Position Name - Compliance Manager - Mutual FundLocation - MumbaiExperience Range - 8-10 years, preferably from a Trustee backgroundMandatory Requirement:
strong background in compliance within the Mutual fund/Trustee/Financial Services domain, with expertise in regulatory frameworks, risk management, and governance processes.
About the client: A leading asset management company with a strong track record in equity and fixed income funds, driven by research-led investment strategies and robust governance.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: 8–10 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.
