You will be our dedicated compliance hire for Mutual Fund Distribution, responsible for ensuring that operations, product journeys, disclosures, and investor communications remain aligned with applicable SEBI and AMFI requirements. This is a foundational role with direct ownership of compliance processes, regulatory implementation, and audit readiness as the business scales.
Key Responsibilities:
- Ensure compliance with applicable SEBI requirements, AMFI guidelines, and the AMFI Code of Conduct for Mutual Fund Distributors.
- Build and maintain MFD compliance SOPs, internal controls, regulatory trackers, and audit documentation.
- Monitor compliance across KYC, CKYC, FATCA/CRS, PMLA, investor onboarding, and record-keeping processes.
- Ensure appropriate commission, remuneration, and conflict-of-interest disclosures.
- Review mutual fund displays, fund-selection logic, product journeys, and investor-facing communications from a compliance perspective.
- Review marketing material and digital communications relating to mutual fund distribution prior to release.
- Own compliance-related investor grievance tracking, escalation, and documentation.
- Track SEBI and AMFI circulars and translate regulatory changes into actionable internal requirements.
- Coordinate with AMCs, RTAs, infrastructure partners, auditors, and external legal counsel on compliance matters.
Requirements:
- 1 to 2 years of relevant experience in MFD, AMC, RTA, or mutual fund compliance.
- Strong working knowledge of the AMFI MFD framework, ARN and EUIN requirements, and applicable SEBI and AMFI guidelines.
- Familiarity with KYC, CKYC, FATCA/CRS, PMLA, commission disclosures, and mutual fund record-keeping requirements.
- Experience with compliance SOPs, regulatory trackers, internal controls, or audit documentation.
- A background in Law, Finance, Chartered Accountancy, or Company Secretaryship is preferred. NISM Series V-A certification is preferred.
- Familiarity with CAMS, KFintech, BSE StAR MF, MF Utilities, or MFD infrastructure partners is an advantage.
- Strong regulatory interpretation, documentation, and process ownership skills.
Pay: ₹360,000.00 - ₹600,000.00 per year
Benefits:
- Flexible schedule
- Food provided
- Work from home
Work Location: Hybrid remote in New Delhi, Delhi (South District)
