Sr. Manager / AVP - Compliance (Ste Job/ 31)

Job Title -  Senior Manager / AVP – Compliance
Location: Mumbai
Experience: 8 – 10+ Years
Qualification: CA / CS / MBA / LLB or relevant Mutual Fund (MF) / AMC industry experience
Salary : upto 30 LPA

About Client :

A leading financial services and investment management organization offering asset management, portfolio advisory, and wealth solutions to HNI and institutional clients. The firm is known for its strong research-driven approach, disciplined investment philosophy, and consistent focus on delivering long-term value and transparent financial growth.

Job Description

We are looking for an experienced Senior Manager / AVP – Compliance to act as the Single Point of Contact (SPOC) for all compliance activities. The role involves ensuring adherence to regulatory guidelines, managing reporting to regulatory bodies, coordinating with stakeholders, and supporting the organization in aligning with SEBI and industry regulations.

Key Responsibilities

• Manage and execute all regulatory reporting to SEBI, AMFI, AMC/Trustee Board and internal management.

• Develop and maintain compliance frameworks such as PMLA, KYC, client due diligence, regulatory tracking, alerts analysis, and documentation.

• Implement conflict-of-interest policies including Gift & Entertainment, Anti-Bribery, Outside Business Activities, Error Escalations, Fraud Escalation, etc.

• Coordinate with regulators and industry bodies for submissions, queries, documents, marketing material, and scheme-related updates.

• Conduct reviews, monitoring activities, and periodic internal compliance checks.

• Interpret regulatory circulars/directives and guide AMC departments for correct implementation.

• Review public and product-related documents for regulatory compliance.

• Prepare and submit compliance-related reports, board reports, and regulatory filings.

• Vet documents for compliance, investment mandates, and regulatory adherence.

• Ensure organizational compliance with PIT Guidelines.

• Support audit and inspection requirements.

• Knowledge of Bloomberg limit monitoring module is an added advantage.

Candidate Requirement

• Experience: 8–10+ years of relevant experience in the Mutual Fund / AMC industry.

• Qualification: CA / CS / MBA / LLB preferred; candidates with strong MF/AMC compliance experience may also apply.

• Strong knowledge of SEBI, AMFI, PMLA, KYC, and other mutual fund industry regulations.

• Experience in regulatory reporting, compliance audits, and documentation.