Legal & Compliance Manager - Mutual Funds

Sbnri Technologies; Gurugram District; On-site; INR 600,000 - 1,000,000; Full time

Job summary

Sbnri Technologies is seeking a vigilant Compliance Specialist to oversee regulatory requirements in the Indian financial markets. You will ensure adherence to SEBI, AMFI and NISM standards and participate in the vetting of legal documents and risk reviews.

The role also involves conducting audits, tracking circulars, coordinating regulatory audits, and liaising with SEBI, AMFI, RTAs, custodians, trustees and other market intermediaries to drive policy adoption across the business.

Qualifications

• Experience with SEBI/AMFI/NISM compliance.
• Ability to vet legal agreements and custody documents.
• Experience conducting regulatory audits and risk reviews.

Responsibilities

• Ensure compliance with SEBI, AMFI, NISM and other authorities.
• Review and vetting of legal documents such as AMC agreements, custody agreements, etc.

Skills

Regulatory compliance

SEBI/AMFI/NISM

Auditing

Stakeholder liaison

Job description

Roles and Responsibilities

• Ensure compliance with regulatory requirements from SEBI, AMFI, NISM, and other relevant authorities.
  
• Review and vetting of legal documents such as AMC agreements, custody agreements, etc.
  
• Conduct regular audits to identify areas of improvement in compliance processes.
  
• Track SEBI and AMFI circulars, assess impact and drive implementation across the business.

• Run the compliance calendar and coordinate regulatory audits and inspections.

• Liaise with SEBI, AMFI, RTAs, custodians, trustees and other market intermediaries.