Position Name - Compliance Manager

Location - Mumbai

Experience Range - 5-10 years

Mandatory Requirement:
- solid background in compliance within the Mutual fund/Trustee/Financial Services domain, with expertise in regulatory frameworks, risk management, and governance processes.

About the client: A leading asset management company with a strong track record in equity and fixed income funds, driven by research-led investment strategies and robust governance.

Job Roles and Responsibilities:

Independently manage reporting requirements to SEBI, AMFI, AMC / Trustee Board. Also cater to the reporting needs of the management as may arise from time to time.

Framework i.e. policies around PMLA, KYC, processes around client due diligence, analysis of alerts, tracking regulatory / industry developments, minutes, paperwork.

Implementation of Policies around conflict of interest, viz. Gift & Entertainment, Anti-bribery, Outside Business Activities, Error Escalations & Corrections, Fraud Escalation etc.





reporting on a regular basis to the regulatory body and progress of implementation, and assisting these components in establishing methods to improve efficiency and quality of services, and to reduce the vulnerability to non compliance and abuse.

Co-ordination with regulators and other Industry/regulatory bodies.

Submission of response/documents, Marketing material , Scheme documents and updates to the regulators.

Coordinating internal compliance review and monitoring activities, including periodic reviews of functions

Interpretation and distribution of regulatory directives received from time to time and Provide interpretation of regulations to the functions of the AMC

Review compliance of public documents and product related document.

Preparation and submission of regulatory reporting to Boards and regulators.

Vetting of documents in terms of regulatory compliance and other factors.

Support for implementation and monitoring of investment compliance.

Preparati

📌 Compliance Manager (Mumbai)
🏢 SKS Enterpprises
📍 Mumbai