Compliance Officer

1 week ago

Kozhikode, Kerala, India beBeeCompliance Full time ₹ 15,00,000 - ₹ 35,00,000

About this role:

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We are seeking a highly skilled and experienced Compliance Manager to join our team.

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As a Senior Compliance Manager, you will be responsible for ensuring that our business practices align with regulatory requirements and industry standards.

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  • You will prepare and review compliance reports, test reports, and regulatory disclosures to ensure accuracy and timeliness.">
  • You will support the Head of Compliance in preparation and ongoing monitoring of investment limits in the front-office system.">
  • You will draft, revise, and implement compliance-related policies, procedures, and SOPs in line with regulatory updates and internal controls.">
  • You will monitor various AMC functions for regulatory adherence; conduct internal reviews and oversee day-to-day compliance tasks.">
  • You will liaise with regulators on compliance and audit matters.">
  • You will ensure compliance with PMLA and PIT requirements; review advertisements and investor communications for regulatory compliance.">
  • You will interpret, circulate, and implement regulatory directives as received from time to time.">
  • You will assist in the preparation of Scheme Information Documents (SID) and Key Information Memoranda (KIM).">
  • You will work with vendors and internal teams to ensure correctness and timeliness of submissions and disclosures.">
  • You will ensure all regulatory disclosures on our website remain current and accurate.">
  • You will handle compliance-related tasks requested by the Board, Trustees, or Company Secretary and ensure smooth compliance continuity across functions.">
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Requirements:

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  • A 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.">
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About us:

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We are a leading asset management company that manages the Capitalmind Mutual fund. Our team is well-rounded and headed by experienced professionals in fund management, compliance, risk, marketing, investor servicing, and operations. We use technology, digital approaches, and strong investor education to make investing more approachable for Indian investors.

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