Senior Compliance Manager

4 weeks ago

Bengaluru, Karnataka, India Capitalmind Mutual Fund Full time

Job Title : Senior Compliance Manager

Company : Capitalmind Asset Management Private Limited

Location : Sector 1, HSR Layout, Bangalore (Work from Office)

About Capitalmind:

As Capitalmind Asset Management Private Limited, we manage the Capitalmind Mutual fund and have been seeded with capital from its parent and sponsor, Capitalmind Financial Services Private Limited. Headed by Deepak Shenoy as the CEO, the company has launched its first mutual fund schemes for retail investors, HNIs and corporates alike, to help these investors meet their long-term financial goals. We have a well-rounded management team, with senior personnel in fund management, compliance, risk, marketing, investor servicing and operations. Using technology, digital approaches, and a strong investor education focus, we hope to use insightful analysis, supervised automation and easy-to-understand communication to make investing more approachable for Indian investors.

Required Qualification and Skills:

  • Minimum of 7+ years of professional experience  in compliance, with exposure to mutual funds/ AIFs
  • Graduation in Finance, Law, or related field; Company Secretary qualification preferred/ Candidates with relevant MF / AMC industry experience
  • Practical knowledge of SEBI, FEMA, and RBI regulations.
  • Excellent communication and teamwork abilities; able to coordinate effectively with internal teams and external stakeholders.
  • Strong analytical skills and attention to detail.
  • Tech-savvy and adaptable to new compliance tools and systems.

Key Roles and Responsibilities:

  • Compliance Reporting & Disclosures  – Prepare and review compliance reports, compliance test reports, and regulatory disclosures to ensure accuracy and timeliness before submission to SEBI and other regulators.
  • Investment Limits Monitoring  – Support the Head of Compliance in preparation and ongoing monitoring of investment limits in the front-office system.
  • Policies, Procedures & SOPs  – Draft, revise, and implement compliance-related policies, procedures, and SOPs in line with regulatory updates and internal controls.
  • Governance & Documentation  – Draft committee meeting minutes and ensure proper documentation for Board and committee processes.
  • Compliance Oversight  – Monitor various AMC functions for regulatory adherence; conduct internal reviews and oversee day-to-day compliance tasks.
  • Regulatory & Audit Interface  – Liaise with SEBI, auditors, consultants, and other regulators on compliance and audit matters.
  • Specialized Monitoring  – Ensure compliance with PMLA and PIT requirements, review advertisements and investor communications for regulatory compliance.
  • Regulatory Updates  – Interpret, circulate, and implement regulatory directives as received from time to time.
  • Scheme Documentation  – Assist in the preparation of Scheme Information Documents (SID) and Key Information Memoranda (KIM).
  • Cross-Team Coordination  – Work with vendors (RTA, Custodian, Fund Accountant) and internal teams (Operations, Risk, Investor Relations, Finance) to ensure correctness and timeliness of submissions and disclosures.
  • Website & Public Disclosures  – Ensure all regulatory disclosures on the AMC's website remain current and accurate.
  • Board & Trustee Support  – Handle compliance-related tasks requested by the Board, Trustees, or Company Secretary and ensure smooth compliance continuity across functions.
    • Interested candidates are invited to submit their profiles to

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