Compliance Expert

2 days ago

Solapur, Maharashtra, India beBeeCompliance Full time ₹ 2,00,00,000 - ₹ 2,50,00,000
Job Title: Senior Compliance Manager

Capitalmind Asset Management Private Limited is seeking a highly skilled and experienced Senior Compliance Manager to fill this critical role.

The successful candidate will play a vital part in ensuring the company's compliance with all relevant regulatory requirements, responsible for preparing and reviewing compliance reports, monitoring investment limits, drafting policies and procedures, and conducting internal reviews.

  • 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 Responsibilities:
  • Compliance Reporting & Disclosures – Prepare and review compliance reports, compliance 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 functions for regulatory adherence; conduct internal reviews and oversee day-to-day compliance tasks.
  • Regulatory & Audit Interface – Liaise with regulators, auditors, consultants, and other stakeholders 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 and internal teams 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.

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