Compliance Manager - Mutual Fund

Position Name - Compliance Manager - Mutual Fund

Location - Mumbai

Experience Range -

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:

  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.