Manager/Senior Manager - Compliance - Mutual Fund/AMC (4-8 yrs)

For a Leading Broking house and a leading AMC - looking for Compliance Manager/ Se Manager ( Leads )

Key Responsibilities:

- Assist in the development, implementation, and maintenance of compliance policies and procedures in accordance with SEBI regulations.

- Conduct regular compliance reviews and audits to ensure adherence to regulatory requirements and internal policies.

- Monitor regulatory developments and assess their impact on the company's operations, providing guidance and recommendations as necessary.

- Assist in the preparation and submission of regulatory filings and reports, ensuring accuracy and timeliness.

- Conduct employee training on compliance-related matters and provide ongoing support and guidance to ensure understanding and adherence to regulatory requirements.

- Investigate and resolve compliance issues, including conducting internal investigations and implementing corrective actions as needed.

- Collaborate with internal teams, including legal, risk management, and operations, to address compliance-related concerns and implement best practices.

- Stay informed about industry trends and best practices in compliance, contributing to the continuous improvement of compliance processes and procedures.

Skills and Expertise:

- A bachelor's degree in business law, finance, capital markets or a related field; an advanced / post graduate degree like LLB, CA or CS is preferred.

- Aggregate work experience of 4 - 10 years in compliance, regulatory affairs, or a related field.

- Strong understanding of relevant laws, regulations, and industry standards.

- Excellent analytical skills and attention to detail.

- Effective communication skills, both written and verbal.

- Proactive approach to problem-solving and the ability to work both independently and collaboratively in a team environment.

- Ability to handle confidential information with discretion and professionalism.

- Proficiency in MS Office suite, particularly Excel, Word, and PowerPoint.