Description: We are seeking a highly skilled and experienced Manager - Compliance to join our fast- growing fintech company based in Mumbai will also be responsible for secretarial and legal compliance, including regulatory matters related to Reserve Bank of India (RBI), Securities and Exchange Board of India (SEBI), and mutual fund regulations under Association of Mutual Funds in India (AMFI).
Key Responsibilities:
- Ensure compliance with applicable regulatory requirements including Reserve Bank of India (RBI), Securities and Exchange Board of India (SEBI), and Association of Mutual Funds in India (AMFI) guidelines.
- Manage and monitor regulatory filings, documentation, and reporting requirements with financial regulators.
- Handle paperwork, documentation, and operational processes related to regulatory registrations, licenses, and approvals with relevant authorities.
- Handle secretarial and corporate compliance, including statutory filings, board resolutions, and maintaining compliance records.
- Ensure adherence to applicable fintech, wealth management, and mutual fund distribution regulations.
- Liaise with regulators, auditors, and internal stakeholders to ensure regulatory alignment.
- Monitor regulatory updates and assess their impact on company operations.
- Develop and implement internal compliance policies and procedures.
- Support audits, regulatory inspections, and compliance reviews.
Qualifications & Skills:
- Qualified Company Secretary (CS); LLB preferred.
- Background in Compliance, Legal, or Company Secretary (CS).
- Candidates with a Registered Investment Adviser (RIA) license from Securities and Exchange Board of India (SEBI) will be preferred.
- Experience in fintech, NBFC, wealth-tech, or financial services
- Strong understanding of RBI, SEBI, and mutual fund regulatory frameworks.
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