Role Overview:

We are seeking a seasoned professional to lead the compliance function for our Mutual Fund division based in Mumbai. In this strategic role, you will serve as the primary custodian of regulatory integrity, ensuring that all investment operations, product launches, and distribution activities align with SEBI regulations and internal governance frameworks. You will work closely with the Board of Directors, senior leadership, and external regulators to navigate the complex legal landscape of the Indian asset management industry. Your leadership will directly impact our business outcomes by fostering a culture of transparency, mitigating operational risks, and safeguarding investor interests, thereby strengthening our market reputation as a trusted financial institution.

Key Responsibilities:

- Oversee the end-to-end compliance framework for mutual fund operations to ensure seamless adherence to SEBI, AMFI, and PMLA guidelines.

- Lead the reporting process for regulatory filings, ensuring accuracy and timeliness to maintain a clean track record with statutory authorities.

- Advise the investment and operations teams on regulatory implications of new product structures and investment strategies to facilitate compliant business growth.

- Conduct comprehensive internal audits and risk assessments to identify potential vulnerabilities and implement robust mitigation strategies.

- Manage direct interactions with regulatory bodies during inspections and inquiries to represent the firm’s interests and ensure transparent communication.

- Drive the implementation of compliance policies and training programs across the organization to build a proactive risk-aware culture among all stakeholders.

Required Skillset:

- Demonstrated expertise in interpreting and applying complex financial regulations within the Indian Asset Management space.

- Proven ability to lead and mentor high-performing teams while fostering a collaborative environment across cross-functional departments.

- Exceptional communication skills, with the ability to translate complex regulatory requirements into actionable business insights for senior management and the Board.

- Strong analytical mindset to evaluate operational workflows and identify systemic risks before they impact business continuity.

- Professional qualification such as CA, CS, or an MBA from a premier institute, complemented by a deep understanding of the mutual fund lifecycle.

- High degree of professional integrity and the ability to maintain composure and objective judgment while working in a fast-paced, on-site environment in Mumbai.

Suitable candidates may forward their updated profiles in strict confidence along with the below details

-Current CTC - Fixed + variable
-Notice Period
-Expected CTC