Role Purpose
To manage compliance across the Company's Mutual Fund Distribution, Online Bond Platform (OBPP) and Depository Participant businesses.
The role will be responsible for operational compliance, advertisement and marketing approvals, and implementation of regulatory changes.

1. Key Responsibilities
Investment Product Compliance
Ensure compliance with applicable SEBI regulations, AMFI requirements, Mutual Fund Distribution regulations, Online Bond Platform (OBPP) requirements and Depository Participant operational requirements.
Monitor regulatory developments and drive implementation of recent regulatory requirements across investment products.
Develop, maintain and periodically enhance compliance policies, procedures and operational control frameworks.
Provide regulatory guidance to Product, Operations, Marketing, Customer Support and Technology teams during product design and implementation.
Identify regulatory risks across various functions (customer support, product, operations, marketing, technology team) and provide solutions.




Advertisement Review & Product Governance
Review and approve marketing campaigns, advertisements and customer communications relating to Mutual Fund Distribution, Bonds and other investment products.
Ensure compliance with SEBI, AMFI and applicable advertising guidelines.
Review product disclosures, customer communications, website content and promotional material prior to publication.
Support launch of new investment products through regulatory assessments and compliance approvals.
Operational Compliance
Manage operational compliance across Mutual Fund Distribution, and Depository Participant businesses.
Review operational processes to identify compliance gaps and recommend process improvements, including operational gaps in customer support, operations team, etc.
Monitor implementation of compliance controls across business functions.
Support preparation for internal audits and regulatory inspections.

Experience & Qualification

📌 Compliance Manager (Bengaluru)
🏢 Stable Money
📍 Bengaluru