Zerodha Fund House

Enabling the Next Generation of Indian Investors

At Zerodha Fund House, we are redefining the mutual funds landscape to create simple, transparent, and cost-effective investment solutions for millions of Indians. Built by the pioneers behind Zerodha Broking Ltd and Case Platforms Ltd, we are on a mission to empower the next 10 crore investors in India to participate in and grow the capital markets. We are expanding our team and seeking passionate, analytical, and detail-oriented individuals to join us.

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 current 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 9-10 years with minimum 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.

📌 Compliance Manager (Bengaluru)
🏢 Zerodha Fund House
📍 Bengaluru