Compliance Professional Lead

2 days ago

Vadodara, Gujarat, India beBeeCompliance Full time ₹ 15,12,000 - ₹ 2,01,60,000
Job Overview

We are seeking an experienced Compliance Professional to lead our compliance initiatives and ensure adherence to regulatory requirements.

The ideal candidate will have a strong background in finance and regulation, with experience working in the mutual fund industry.

Key Responsibilities
  • Compliance Reporting & Disclosures: Prepare and review compliance reports, test reports, and regulatory disclosures to ensure accuracy and timeliness before submission to 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 regulators, auditors, consultants, and other regulatory bodies 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 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.
Required Skills and Qualifications
  • Strong analytical skills
  • Excellent communication abilities
  • Able to coordinate effectively with internal teams and external stakeholders
  • Tech-savvy and adaptable to new compliance tools and systems

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