Compliance Manager

Role Purpose

To manage compliance across the Company's Mutual Fund Distribution, Online Bond Platform (OBPP) and Depository Participant businesses.

The role will be responsible for operational compliance, advertisement and marketing approvals, and implementation of regulatory changes.

1. Key Responsibilities

Investment Product Compliance

• Ensure compliance with applicable SEBI regulations, AMFI requirements, Mutual Fund Distribution regulations, Online Bond Platform (OBPP) requirements and Depository Participant operational requirements.
• Monitor regulatory developments and drive implementation of new regulatory requirements across investment products.
• Develop, maintain and periodically enhance compliance policies, procedures and operational control frameworks.
• Provide regulatory guidance to Product, Operations, Marketing, Customer Support and Technology teams during product design and implementation.
• Identify regulatory risks across various functions (customer support, product, operations, marketing, technology team) and provide solutions.

Advertisement Review & Product Governance

• Review and approve marketing campaigns, advertisements and customer communications relating to Mutual Fund Distribution, Bonds and other investment products.
• Ensure compliance with SEBI, AMFI and applicable advertising guidelines.
• Review product disclosures, customer communications, website content and promotional material prior to publication.
• Support launch of new investment products through regulatory assessments and compliance approvals.

Operational Compliance

• Manage operational compliance across Mutual Fund Distribution, and Depository Participant businesses.
• Review operational processes to identify compliance gaps and recommend process improvements, including operational gaps in customer support, operations team, etc.
• Monitor implementation of compliance controls across business functions.
• Support preparation for internal audits and regulatory inspections.

Experience & Qualifications

Mandatory Experience

• 3–4 years of post-qualification experience in Compliance functions within securities market regulated entities.
• Experience in Mutual Fund Distribution, Asset Management Companies, Wealth Management, Stock Broking, Depository Participant or other regulated investment businesses.
• Experience reviewing customer communications, advertisements and marketing material from a regulatory perspective.
• Qualified Lawyer, Chartered Accountant, MBA graduate, Company Secretary (ACS) preferred.