Senior Compliance Manager

Aditya Birla Capital; Maharashtra; On-site; INR 700,000 - 900,000; Full time

Job summary

Aditya Birla Capital is seeking a compliance manager to oversee regulatory compliance for mutual funds, AIF, and other financial services. The candidate will be responsible for ensuring timely filings and managing compliance risks.

Key duties include interacting with regulatory bodies, monitoring statutory compliance, and developing governance guidelines. A solid understanding of SEBI and related regulations is critical for this role.

Qualifications

• Experience in managing compliance for Mutual funds, AIF, PMS & Digital Metal.
• Strong knowledge of regulatory requirements under corporate laws, SEBI, MCA, stock exchanges, and RBI.

Responsibilities

• Manage compliances in a timely manner under various regulations.
• Review and file required documents to regulatory authorities.
• Monitor statutory compliances and ensure timely filings.

Job description

Key Result Areas

Supporting Actions

Compliance Management for Insurance & Investment

• Manage compliances in a timely and orderly manner in all regulatory matters under corporate laws, SEBI, MCA, stock exchanges and RBI.
• Experience in Managing compliance for Mutual fund, AIF, PMS & Digital Metal.
• Review and file required documents, returns, and clarifications to IRDAI, AMFI, SEBI as necessary.
• Ensure timely compliance with all applicable IRDAI, IRDAI, AMFI, SEBI obligations, reporting, and filings.
• Collaborate with the Partnership and Legal team for compliance-related matters and contract reviews.
• Manage regulatory inquiries.
• Identify potential compliance risks, gaps in processes, or areas for improvement within the organization.
• Assist senior management and business units in making compliance-conscious decisions that align with IRDAI, IRDAI, AMFI, SEBI regulations.
• Obtain necessary licenses and registrations from regulators/authorities, if required.

Monitoring

• Monitor statutory compliances and follow up regularly with internal teams to complete filings within prescribed timelines;
• Develop guidelines, SOPs, document templates as may be required from compliance perspective and as good governance;
• Keep abreast of the regulatory changes & come up with the implementation plan

Stakeholder Management

• Interact with auditors, regulators, and other internal as well as external stakeholders.