Compliance Manager

3 days ago

Mumbai, India SKS Enterpprises - Human Resource Planning and Management Full time

Position Name - Compliance Manager - Mutual Fund

Location - Mumbai

Experience Range -
8-10 years, preferably from a Trustee background

Mandatory Requirement:

  • strong background in compliance within the Mutual fund/Trustee/Financial Services domain, with expertise in regulatory frameworks, risk management, and governance processes.

Job Roles and Responsibilities:

  • Oversee compliance activities for Trustee operations and ensure alignment with SEBI, RBI, and other regulatory requirements.
  • Monitor regulatory changes and assess their impact on business operations.
  • Draft, review, and update compliance policies, procedures, and manuals.
  • Conduct compliance risk assessments and provide recommendations for risk mitigation.
  • Ensure timely submission of regulatory filings, reports, and disclosures.
  • Liaise with regulators, auditors, and internal stakeholders on compliance matters.
  • Provide training and guidance to business teams on compliance requirements.
  • Support the Group Compliance Head in driving compliance strategy and governance initiatives.

Qualification and Experience:

  • Experience:
    8–10 years of experience in compliance, preferably from a Mutual fund,Trustee or related financial services background.
  • Education:
    Graduate/Postgraduate in Law, Finance, or related field; additional certifications (e.g., CS, CA, CFA, or compliance certifications) will be an advantage.
  • Strong knowledge of
    SEBI regulations, Trustee obligations, fund compliance, and financial sector governance frameworks
    .
  • Demonstrated ability to interpret and apply regulatory guidelines to business operations.
  • Excellent analytical, communication, and stakeholder management skills.

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