Manager - Compliance

About Zerodha Fund House

At Zerodha fund house, we are enabling the next generation of Indian investors. We feel mutual funds as a product needs to be reimagined to build simple & relevant investment solutions for the next 10 crore individuals to participate in and grow the capital markets in India. Built by the team behind Zerodha & smallcase, Zerodha fund house brings the principles of simplicity, cost-effectiveness, and transparency to the mutual funds.

Responsibilities Include

General Compliance Responsibilities

• Assist in the finalization of reports to be filed with SEBI, AMFI, RBI and the Board of AMC and Trustees.
• Assist in update of regulatory documents such as SID, KIM, and SAI.
• Draft notices, addendums, and board communication related to compliance matters.
• Pre-clearance of all marketing materials and filing the same with the regulator.
• Assist in update of Compliance Manual and other policies.
• Provide guidance to business and other teams on various compliance requirements.
• Conduct compliance risk assessments and provide recommendations for risk mitigation.
  

Research and Regulatory Updates

• Proactively track and analyze new circulars and directives issued by SEBI and AMFI.
• Prepare reports on the impact of regulatory changes.
• Assist in implementing changes required by new guidelines, ensuring seamless compliance.
• Provide support for research for new initiatives.
  
  
  

Compliance Surveillance and Monitoring

• Conduct reviews to ensure compliance with dealing room practices, insider trading regulations and ethical standards.
• Analyze transaction/s to identify and report suspicious activities or regulatory breaches.
• Review of call recordings, emails, and communications.
• Review of personal transaction/s of employees.
• Monitor compliance limit breaches/ alerts.
• Proactively monitoring to detect and prevent potential breaches of compliance norms/ internal policies.
  
  
  

Reporting and Liaison

• Prepare various compliance related reports and MIS for the team.
• Liaise with exchange/s on matters related to listed ETFs and other compliance requirements.
• Coordinate with Internal Auditors, Statutory Auditors, and SEBI Auditors and Assist in handling SEBI inspection.
  
  
  

REQUIREMENT

• Total experience of 5-6 years with minimum 3-4 years of experience of working in the compliance department of Asset Management Company/ Mutual Fund.
• Graduate/Postgraduate in Law, Finance, or related field; additional certifications (e.g., CS, CA, CFA, or compliance certifications) will be an advantage.
• Excellent analytical, communication, and stakeholder management skills.