Details of the Organization

At Capitalmind Asset Management Private Limited, we manage the Capitalmind Mutual Fund, seeded by our parent and sponsor, Capitalmind Financial Services Private Limited. Led by CEO Deepak Shenoy, we have launched mutual fund schemes catering to retail investors, HNIs, and corporates, with the aim of helping them achieve long-term financial goals.

Details of the Job/Internship

Capitalmind Mutual Fund is hiring for the position of Senior Compliance Manager with 7+ years of experience to join their office in Bengaluru. 

Role and Responsibilities

• Compliance Reporting & Disclosures: Prepare, review, and submit compliance reports, compliance test reports, and regulatory disclosures accurately and on time.
• Investment Limits Monitoring: Support the Head of Compliance in monitoring and maintaining investment limits in the front-office system.
• Policies, Procedures & SOPs: Draft, update, and implement compliance-related policies, procedures, and SOPs in line with regulatory changes and internal best practices.
• Governance & Documentation: Draft minutes of committee meetings and ensure proper governance documentation for Board and committee processes.
• Compliance Oversight: Monitor AMC functions for regulatory adherence, conduct internal reviews, and oversee day-to-day compliance activities.
• Regulatory & Audit Interface: Liaise with SEBI, auditors, consultants, and other regulators on compliance and audit matters.
• Specialized Monitoring: Ensure compliance with PMLA and PIT requirements; review advertisements and investor communications for regulatory alignment.
• Regulatory Updates: Interpret, circulate, and implement new regulatory directives in a timely manner.
• Scheme Documentation: Assist in preparing Scheme Information Documents (SID) and Key Information Memoranda (KIM).
• Cross-Team Coordination: Collaborate with vendors (RTA, Custodian, Fund Accountant) and internal teams (Operations, Risk, Investor Relations, Finance) to ensure accuracy and timeliness of submissions.
• Website & Public Disclosures: Ensure all regulatory disclosures on the AMC’s website are up-to-date and accurate.
• Board & Trustee Support: Handle compliance-related requests from the Board, Trustees, or Company Secretary to ensure smooth compliance operations.

Eligibility

• Minimum 7+ years of professional experience in compliance, preferably in mutual funds/AMCs or AIFs.
• Graduate degree in Finance, Law, or a related field; Company Secretary qualification preferred.
• Strong knowledge of SEBI, FEMA, and RBI regulations.
• Excellent communication and teamwork skills to coordinate across internal teams and external stakeholders.
• Strong analytical skills, attention to detail, and problem-solving ability.
• Tech-savvy, with adaptability to modern compliance systems and tools.

Salary/Stipend

Compensation details will be finalized during the interview process with the selected candidate.

Type of Opportunity

Fulltime

Country

India

Address

Bengaluru, Karnataka

Application and Registration Details

After you submit your application, you will receive the next steps in the process via email. Please follow the instructions provided to complete your application.

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We are solely providing this information for dissemination and wish to clarify that we are not affiliated with the organization.