Compliance Manager and Product Lead

1 week ago

Andheri, Maharashtra, India InvestOnline Full time ₹ 5,00,000 - ₹ 8,00,000 per year

Role Summary:

Take charge of every compliance task tied to PMS, mutual funds, or insurance agency work. Set up systems that

follow what SEBI, AMFI, and IRDAI ask for. Team up with product and tech folks so rules turn into real tools,

steps, guides, plus how users interact.

Key Responsibilities:

Regulatory –

Maintain compliance for PMS under SEBI rules - handle reports, disclosures, contracts, also regular

submissions.

Deal with checks, reviews, or messages from SEBI, also handling similar tasks for AMFI along with IRDAI

paperwork.

Make sure MF distribution follows MFD rules, check risks carefully, confirm investor profiles, do proper client

checks instead of just ticking boxes, also stick to payout rules.

Handle insurance firm rules through IRDA - like permits, learning schedules, agent sign-ups, also updates - all in

line.

Keep an eye on new rules, then put them into action ahead of time.

Operational:

Draft policies, then go over them to make updates, Tweak SOPs alongside investor paperwork, mix in changes

for distributor info, also adjust platform rules when needed.

Get staff and collaborators up to speed on rules by running practice sessions.

Keep an eye on transactions plus handle investor complaints. Watch out for mis-selling risks while checking

paperwork issues. Also review how internal checks are working.

Maintain records, keep logs, update and track changes carefully.

Product:

Turn rules into working product details using real world needs as a guide instead of just copying regulations word

for word.

Team up with engineers to sketch out steps for ID checks, data verification, payouts, sign-up processes, info

sharing, also risk reviews.

Check each version fits rules before launching it, so nothing slips through.

Create compliance dashboards, run automatic checks or set up alerts when things shift.

Skills

Strong understanding of SEBI PMS regulations

Comfortable with AMFI and IRDAI frameworks

Dealing with audits? Got questions from regulators? You've handled it before.

Knows how to draft rules along with clear task descriptions

Good communication skills.

Preferred:

Worked with a PMS, fintech, mutual fund seller or brokerage firm

Job Types: Full-time, Permanent

Pay: ₹500, ₹800,000.00 per year

Benefits:

  • Health insurance
  • Paid sick time
  • Provident Fund

Work Location: In person

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