Assistant Vice President - Compliance (PSS07863)

About the Company

A leading asset management organization based in Mumbai, operating within the investment management and mutual fund domain. The firm is recognized for its strong governance culture, regulatory discipline, and commitment to maintaining the highest standards of compliance and investor protection.

Position Overview

The Senior Manager / Assistant Vice President – Compliance role is responsible for managing end-to-end compliance activities for the asset management business. This position ensures adherence to SEBI and AMFI regulations, strengthens governance frameworks, and supports regulatory inspections, disclosures, and internal audits. The role reports into senior management and partners closely with investment, operations, and governance teams.

Key Responsibilities

• Draft, review, and file Scheme Information Documents (SID) and related offer documents for mutual fund products.
• Update regulatory documents periodically in line with SEBI and AMFI requirements.
• Disseminate and implement SEBI / AMFI circulars and regulatory guidelines across the organization.
• File regulatory reports and disclosures under mutual fund regulations within prescribed timelines.
• Manage SEBI inspections, regulatory reviews, and internal audits, ensuring timely closure of observations.
• Coordinate with auditors, trustees, custodians, and regulators during inspections and audits.
• Update and implement compliance policies, manuals, and SOPs to strengthen governance frameworks.
• Monitor compliance with SEBI Institutional Investor Regulations and other applicable frameworks.
• Vet marketing and communication materials in line with SEBI Advertisement Code and AMFI guidelines.
• Monitor investment and regulatory limits, including limits on Bloomberg systems, in coordination with investment and operations teams.
• Conduct compliance training programs for investment teams and advise senior management on regulatory interpretations and compliance risks.

Required Experience & Qualifications

• Education: Qualified Company Secretary (CS) – mandatory.
• Experience: 7–15 years of relevant compliance experience within Asset Management, Mutual Funds, or Investment Management.
• Leadership: Proven ability to operate independently, manage complex regulatory matters, and engage with senior stakeholders and regulators.
• Technical Expertise: Strong knowledge of SEBI Mutual Fund Regulations, AMFI guidelines, governance frameworks, and regulatory filings.
• Soft Skills: Excellent drafting, documentation, analytical, and stakeholder management capabilities; high attention to detail and sound judgment.

Why Consider this Opportunity?

• Lead the compliance function for a growing asset management business with strong governance standards.
• Engage directly with regulators, trustees, and senior leadership on high-impact compliance initiatives.
• Shape and strengthen enterprise-wide governance and control frameworks.
• Drive regulatory readiness and best practices across investment and operational teams.
• Gain visibility and influence in a leadership role that supports strategic business integrity and investor trust.

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