Assistant Manager/ Manager - Mutual Fund Compliance

Ashika Group; Mumbai; On-site; INR 900,000 - 1,500,000; Full time

Job summary

Ashika Group is seeking a Compliance professional to manage regulatory filings and governance reporting for mutual funds and SIF. The role focuses on ensuring adherence to SEBI and AMFI guidelines, with responsibilities spanning ad-hoc reports, CTR, and board-level disclosures.

The candidate should have CS or LLB, or an equivalent degree, with substantial experience in Mutual Fund/AMC compliance, scheme documentation, and cross-functional liaison across Legal, Fund Management, Operations, Sales,

Qualifications

• CS or LLB preferred and relevant law/finance education.
• Graduate or postgraduate in Law, Finance, Commerce, or related field.
• 45 years of relevant experience in Mutual Fund/AMC Compliance.
• Experience with scheme documentation (SID/KIM/SAI) and regulatory filings.

Responsibilities

• Prepare and file regulatory ad-hoc reports with AMFI/SEBI.
• Prepare regulatory and board-level reports (CTR and Quarterly Compliance Reports).
• Handle launch of new schemes/FAC/addendum/notices for Mutual Fund and SIF.
• Update SID/KIM/SAI on a half-yearly basis.
• Issue notices/addenda for branch changes, KMP/Fund Manager changes, dividend, etc.

Skills

SEBI/AMFI regulations

Board reporting

Regulatory drafting

Regulatory timelines

Interdepartmental liaison

Analytical skills

Attention to detail

Education

CS or LLB preferred

Graduate in Law, Finance, or Commerce

Tools

Regulatory filings tools

Job description

Key Responsibilities:

• Prepare and file regulatory ad-hoc reports with AMFI/SEBI.
• Prepare regulatory and board-level reports, including CTR and Quarterly Compliance Reports.
• Handle launch of new schemes/FAC/addendum/notices for Mutual Fund and SIF.
• Update SID/KIM/SAI on a half-yearly basis.
• Issue notices/addenda for changes such as branch, KMP/Fund Manager change, dividend, etc.
• Prepare Board agenda items pertaining to Mutual Fund and SIF compliance.
• Vet and clear marketing materials/IAPs.
• Ensure compliance with employee dealing guidelines.
• Track SEBI/AMFI circulars and regulations and ensure implementation across the organization.

Key Skills & Competencies

• Strong understanding of SEBI Mutual Fund Regulations, AMFI Guidelines, and evolving SIF framework.
• Experience with scheme documentation (SID/KIM/SAI) and regulatory filings.
• Working knowledge of Board/Committee reporting processes.
• Strong attention to detail and ability to manage multiple regulatory timelines simultaneously.
• Good drafting skills for notices, addenda, and compliance reports.
• Ability to liaise effectively with Legal, Fund Management, Operations, Sales, and Marketing teams.
• Strong analytical and organizational skills.

Qualifications

• Company Secretary (CS) or LLB preferred.
• Graduate/Postgraduate in Law, Finance, Commerce, or related field
• 45 years of relevant experience in Mutual Fund/AMC Compliance.