Senior Manager – Compliance

Company Overview

Not specified.

Job Summary

The Senior Manager – Compliance will be responsible for ensuring adherence to regulatory requirements within the mutual fund industry. The role involves managing compliance processes, interacting with regulators, and overseeing regulatory reporting, secretarial compliance, and corporate governance. The position aims to mitigate compliance risks and support the organization’s regulatory obligations, contributing to the company's integrity and operational excellence.

Responsibilities

• Ensure compliance with SEBI Mutual Fund Regulations and other relevant regulatory frameworks.
• Oversee regulatory reporting, ensuring accuracy, timeliness, and completeness of submissions.
• Manage secretarial compliance and maintain adherence to corporate governance standards.
• Monitor compliance activities and implement compliance monitoring processes.
• Interact effectively with regulators and internal stakeholders to address compliance issues and facilitate audits.
• Maintain up-to-date knowledge of regulatory changes and ensure organizational policies are aligned accordingly.
• Support Limit Monitoring processes and assist in risk management related to compliance limits.
• Utilize Bloomberg and other tools for compliance monitoring and reporting, leveraging experience with these platforms.

Qualifications

• Educational Qualification: Graduate from a recognized university; Law degree preferred.
• Certifications: ICSI qualification/certification will be an added advantage.
• Technical Skills: Strong knowledge of Mutual Fund Regulatory Compliance, SEBI Mutual Fund Regulations, Regulatory Reporting, Corporate Governance, and Compliance Monitoring.
• Additional Skills: Excellent communication skills to interact with regulators and internal teams; proficiency in Bloomberg preferred.
• Soft Skills: Analytical mindset, attention to detail, strong organizational skills, and ability to handle multiple compliance functions simultaneously.

Preferred Skills

• Experience with Limit Monitoring processes.
• Familiarity with Bloomberg platform.
• Knowledge of Regulatory Reporting tools and practices.
• Ability to interpret and implement complex regulatory requirements.

Experience

• 8-10 years of relevant experience in Mutual Fund Regulatory Compliance.
• Proven track record of working with SEBI regulations and managing compliance functions within the mutual fund industry.

Environment

• The role is based in Mumbai.
• The work environment involves interaction with regulators, internal teams, and external stakeholders.
• The position may require working in an office setting with standard corporate hours; flexibility may be needed for regulatory deadlines.

Salary

Not specified.

GrowthOpportunities

Not specified.

Benefits

Not specified.