Manager Compliance (Mutual Funds)

Job Summary

You will be responsible for ensuring end-to-end compliance with SEBI (Mutual Funds) Regulations, managing audits and regulatory reporting, overseeing AML and insider trading compliance, supporting product documentation and new fund launches, and implementing regulatory circulars. The role requires close coordination with internal teams, trustees, auditors, and regulators.

Key Responsibilities

• Manage internal audits, statutory audits, and SEBI inspections; coordinate with auditors and ensure timely closure of audit observations.
• Ensure accurate and timely reporting and filings with SEBI, AMFI, RBI (where applicable), and Trustees.
• Oversee AML / KYC compliance in line with SEBI and PMLA requirements, including monitoring and regulatory reporting.
• Monitor and ensure compliance with Insider Trading regulations and Code of Conduct for designated persons.
• Maintain and update Scheme Information Documents (SID), Statement of Additional Information (SAI), and Key Information Memorandum (KIM).
• Coordinate and manage launch and filing of new mutual fund schemes, including Specialized Investment Funds (SIFs).
• Track, interpret, and implement SEBI circulars, AMFI guidelines, and regulatory amendments.
• Work closely with internal teams to ensure implementation and ongoing monitoring of compliance policies and procedures.
• Prepare compliance reports for Trustee meetings, Board meetings, and regulatory submissions.
• Conduct compliance training and awareness sessions for employees.

Key Requirements

• Strong working knowledge of SEBI (Mutual Funds) Regulations, AML, PMLA, and AMFI guidelines.
• Hands-on experience in audit handling and regulatory interactions.
• Ability to interpret regulatory changes and convert them into operational action points.
• Strong documentation, analytical, and stakeholder management skills.
• High level of integrity and attention to detail.

Qualifications & Experience

• CA / CS / LLB .
• 3–6+ years of relevant experience in compliance or regulatory roles within a Mutual Fund / AMC.
• Prior experience working with Trustees, RTA, Custodians, and SEBI is preferred

Skills Required
regulatory interactions , Aml