Assistant Vice President - Compliance (PSS07863)

Mumbai

Senior Manager / Assistant Vice President Compliance

• Draft, review, and file

  Scheme Information Documents (SID)

  and related offer documents for mutual fund products.
• Update regulatory documents periodically in line with

  SEBI

  and

  AMFI

  requirements.
• Disseminate and implement

  SEBI / AMFI

  circulars and regulatory guidelines across the organization.
• File regulatory reports and disclosures under mutual fund regulations within prescribed timelines.
• Manage

  SEBI

  inspections, regulatory reviews, and internal audits, ensuring timely closure of observations.
• Coordinate with auditors, trustees, custodians, and regulators during inspections and audits.
• Update and implement compliance policies, manuals, and

  SOPs

  to strengthen governance frameworks.
• Monitor compliance with

  SEBI Institutional Investor Regulations

  and other applicable frameworks.
• Vet marketing and communication materials in line with

  SEBI Advertisement Code

  and

  AMFI

  guidelines.
• Monitor investment and regulatory limits, including limits on

  Bloomberg

  systems, in coordination with investment and operations teams.
• Conduct compliance training programs for investment teams and advise senior management on regulatory interpretations and compliance risks.

• Education:

  Qualified

  Company Secretary (CS)

  mandatory.

• Experience:

  7 15 years

  of relevant compliance experience within

  Asset Management

  ,

  Mutual Funds

  , or

  Investment Management

  .

• Leadership:

  Proven ability to operate independently, manage complex regulatory matters, and engage with senior stakeholders and regulators.

• Technical Expertise:

  Strong knowledge of

  SEBI Mutual Fund Regulations

  ,

  AMFI guidelines

  , governance frameworks, and regulatory filings.

• Soft Skills:

  Excellent drafting, documentation, analytical, and stakeholder management capabilities; high attention to detail and sound judgment.

• Lead the compliance function for a growing asset management business with strong governance standards.
• Engage directly with regulators, trustees, and senior leadership on high-impact compliance initiatives.
• Shape and strengthen enterprise-wide governance and control frameworks.
• Drive regulatory readiness and best practices across investment and operational teams.
• Gain visibility and influence in a leadership role that supports strategic business integrity and investor trust.

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