Head - Compliance & Company Secretary - Mutual Fund AMC

A leading mutual fund and asset management platform is seeking a senior Compliance & Company Secretary professional to lead regulatory compliance, corporate governance, investment compliance, risk oversight, audit management, and investor protection functions. The role will serve as the principal compliance officer for the AMC, ensuring adherence to SEBI Mutual Fund Regulations, AMFI guidelines, Companies Act requirements, and other applicable regulatory frameworks while supporting trustees and senior management on governance and risk matters.

Key Responsibilities:

- Lead regulatory compliance across SEBI Mutual Fund Regulations, AMFI guidelines, Companies Act, FEMA, PMLA, and related frameworks.

- Serve as Company Secretary and oversee corporate governance, board processes, statutory filings, and trustee reporting.

- Monitor investment compliance, portfolio restrictions, exposure limits, and regulatory breaches.

- Manage SEBI inspections, internal audits, statutory audits, and closure of audit observations.

- Oversee employee conduct, insider trading compliance, code of conduct implementation, and compliance training.

- Ensure investor protection, grievance redressal, disclosure compliance, and review of marketing and communication materials.

Ideal Candidate Profile:

- Qualified Company Secretary (ICSI member) with 1015 years of relevant experience.

- Mandatory experience within a Mutual Fund Asset Management Company.

- Strong understanding of SEBI Mutual Fund Regulations, AMFI guidelines, corporate governance, and investment compliance.

- Proven experience managing regulatory interactions, audits, inspections, and trustee engagements.

- Ability to advise senior management on compliance, risk, governance, and regulatory developments.

- Willingness to work from Mumbai on a full-time onsite basis.