Senior Regulatory Specialist

3 days ago

Bhavnagar, Gujarat, India beBeeCompliance Full time ₹ 1,50,00,000 - ₹ 2,50,00,000

Job Title: Senior Compliance Manager

About this Role

We are seeking a seasoned professional to lead our compliance efforts, ensuring all mutual fund schemes meet regulatory requirements.

This is a critical position that requires strong analytical skills, attention to detail, and the ability to work effectively in a fast-paced environment.

Key Responsibilities:

  • Compliance Reporting & Disclosures – Prepare and review compliance reports, compliance test reports, and regulatory disclosures to ensure accuracy and timeliness.
  • 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 relevant regulations and 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 our 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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