Compliance Mutual fund

Intellectual Capital HR Consulting Pvt. Ltd.; Kolkata District; Hybrid; INR 1,200,000 - 2,200,000; Full time

Job summary

Intellectual Capital HR Consulting Pvt. Ltd. invites a Compliance Manager for Mutual Funds to oversee SEBI/AMFI compliance across AMC operations, scheme management, and distribution practices. You will coordinate regulatory filings, disclosures, and audits, acting as a key contact for regulators and internal stakeholders.

The role demands deep knowledge of SEBI Mutual Funds Regulations, AMFI guidelines, and strong governance, AML/KYC, and risk-mitigation capabilities.

Qualifications

• Education: CS / LL.B / LL.M / CA / MBA in Finance.
• NISM Series III-A (Securities Intermediaries Compliance) certification (or eligible to clear on joining).
• 3–7 years of experience in compliance, legal, or secretarial roles within an AMC / Mutual Fund / Capital Markets regulator.

Responsibilities

• Regulatory Filings & Reporting: Prepare monthly/quarterly/annual SEBI, IFSCA and AMFI filings within deadlines.
• Portfolio & Investment Compliance: Monitor investment limits, pre/post-trade reviews, ISTs, AML monitoring.
• Marketing & Communication Vetting: Review materials against SEBI/AMFI codes and ensure accuracy.
• Governance, AML/KYC & Investor Grievances: Oversee KYC, FATCA/CRS, SCORES adherence, and grievance handling.
• Audit & Inspections: Coordinate SEBI/IFSCA inspections and audits; drive remediation actions.

Skills

Regulatory Compliance

AML/KYC

Governance

Education

Company Secretary (CS)

LL.B / LL.M

CA

MBA in Finance

NISM Series III-A (Securities Intermediaries Compliance)

Job description

Role & responsibilities

Compliance Manager- Mutual Fund

Industry: Asset Management (AMC) / Mutual Fund / Wealth Management

Location: On-site / Hybrid

Job Type: Full-Time

Reporting To: Chief Compliance Officer (CCO) / Head of Legal & Compliance

Role Overview

The Compliance Officer will be responsible for ensuring that the Asset Management Companys (AMC) operations, investment decisions, scheme management, and distribution practices strictly align with SEBI Mutual Fund Regulations,IFSCA/GIFT City norms(if applicable),AMFI guidelines, and internal compliance controls.

This role serves as a key risk mitigator—monitoring daily portfolio limits, vetting investor communications, managing regulatory filings, and serving as a direct point of contact for audits and regulatory inquiries.

Key Responsibilities

1. Regulatory Filings & Statutory Reporting

• Periodic Submissions:Prepare and submit monthly, quarterly, half-yearly, and annual regulatory filings toSEBI / IFSCAandAMFIwithin prescribed deadlines.
• Offer Document Disclosures:Review and file draft Scheme Information Documents (SID), Key Information Memorandums (KIM), Statement of Additional Information (SAI), and regulatory addendums.
• Regulatory Updates:Monitor new circulars, notifications, and policy changes from regulators; analyze their impact on AMC operations and update internal Standard Operating Procedures (SOPs).

2. Portfolio & Investment Compliance

• Exposure & Limit Monitoring:Ensure daily adherence to regulatory investment limits (e.g., single issuer, sector, asset class, leverage, liquidity ratios, and rating-based limits) across all mutual fund schemes.
• Pre & Post-Trade Review:Monitor front-running, personal trading by employees, Inter-Scheme Transfers (ISTs), fixed deposit placements, and block/bulk trades for strict regulatory adherence.
• Stewardship Code:Ensure compliance with voting policy guidelines and stewardship code disclosures for investee companies.

3. Marketing & Communication Vetting

• Ad Code Adherence:Review and approve all marketing materials, factsheets, investor presentations, digital campaigns, and distribution collateral against SEBI/AMFI Advertising Codes.
• Mis-selling Prevention:Monitor sales practices and distribution channels to prevent mis-selling and enforce compliance with distributor due-diligence norms.

4. Governance, AML/KYC & Investor Grievances

• AML/CFT Framework:Oversee investor KYC verification, FATCA/CRS compliance, and Anti-Money Laundering (AML) / PMLA monitoring programs.
• Grievance Redressal:Track and resolve investor grievances on platforms like SEBI SCORES / SCORES 2.0 within statutory timelines.
• Board & Trustee Reporting:Draft compliance reports, exception logs, and compliance certificates for quarterly AMC Board and Trustee meetings.

5. Audit & Inspections

• Regulatory Inspections:Coordinate and facilitate SEBI/IFSCA periodic inspections, statutory audits, internal compliance audits, and trustee reviews.
• Remediation:Track audit findings, drive corrective actions across business departments, and ensure systemic closure of compliance gaps.

Candidate Profile

Mandatory Qualifications & Experience

• Education:QualifiedCompany Secretary (CS),LL.B / LL.M,CA, orMBA in Finance.
• NISM Certification:ValidNISM Series III-A (Securities Intermediaries Compliance)certification (or ability to clear upon joining).
• Experience:3 to 7 years of relevant experience in compliance, legal, or secretarial functions within anAsset Management Company (AMC), Mutual Fund, AIF, or Capital Markets regulator.

Technical & Soft Skills

• Regulatory Expertise:Deep working knowledge of SEBI (Mutual Funds) Regulations 1996, SEBI (Prohibition of Insider Trading) Regulations, and AMFI Code of Conduct.
• Analytical Precision:Strong attention to detail with the ability to interpret complex circulars and cross-verify trade logs against investment mandates.