Manager - Compliance & Internal Audit - CA/CS/LLB
Description
Total Experience: 5 - 10 years
Role Objective:
To ensure regulatory compliance for Mutual Fund Distributor operations including bond, investments, loan exposures and to support internal audit in line with SEBI, RBI regulations and AMFI Guidelines. This role is execution-focused and critical for the Company requiring strong coordination, documentation discipline and proactive tracking.
Key Responsibilities:
Compliance Mutual Fund, Bonds & Loan:
- Know Your Distributor (KYD) Compliance
- Sub distributor compliances
- Advertising & Sales Literature Compliances
- Code of Conduct adherence
- Track regulatory circulars and ensure compliances
- Annual compliance
- Thematic reviews
Internal Audit SPOC Role:
- Act as Single Point of Contact (SPOC) for external/internal auditors.
- Coordinate data requests between auditors and internal departments (Operations, Investments, Finance, IT, Sales).
- Maintain audit tracker and ensure timely submission of data.
- Track audit observations and follow up with respective teams for closure.
- Prepare audit response drafts for review by Compliance Officer.
- Maintain repository of audit reports, management responses, and compliance confirmations.
- Support management during Trustee reviews and regulatory inspections.
Cross-Functional Coordination (Startup Environment):
- Work closely with small cross-functional teams with high ownership.
- Provide compliance support.
- Support building compliance framework and internal controls.
Eligibility Criteria:
Qualification:
- CA / CS / LLB
Experience:
- 5 years in SEBI/ RBI/ financial services compliance / internal audit
- Experience in handling audit coordination will be an advantage
Key Skills Required:
- Strong documentation and follow-up skills
- Excellent coordination and stakeholder management
- Strong Excel and compliance tracker management
- Attention to detail
- Ability to work in structured manner in a startup setup
- Proactive ownership mindset