Overview
Assistant Manager – Legal & Compliance Jobs in Bagalur, Karnataka, India at Fisdom
Title: Assistant Manager – Legal & Compliance
Company: Fisdom
Location: Bagalur, Karnataka, India
About Us
Fisdom is a leading wealthtech platform, empowering investors to manage their wealth effortlessly. Our comprehensive suite of products and services caters to every financial need, including Mutual Funds, Stock Broking, Private Wealth, Tax Filing, and Pension Funds.
We offer a B2C app and an award-winning B2B2C distribution model. Through strategic partnerships with 15 of India’s largest banks, such as Indian Bank and UCO Bank, we provide wealth management products to a vast customer base. Our seamless integration into the banks’ mobile and internet banking platforms makes us the first wealthtech company in India to launch a stock broking product for PSU bank customers.
At Fisdom, we’re breaking down barriers in wealth management, making these services accessible to underserved markets. With a combined user base exceeding 500 million across our partners, we’re uniquely positioned to lead the disruption in the wealthtech space, which is still in its early stages of adoption in India.
Our Journey And Future Vision
Founded by veteran VC-turned-entrepreneur Subramanya SV (Subu) and former investment banker Anand Dalmia, Fisdom is backed by prominent investors like PayU (Naspers), Quona Capital, and Saama Capital, with $37 million raised to date. Known for our focus on revenue and profitability, we’ve established ourselves as the No.1 B2B2C wealthtech company in India and a highly respected name in the fintech ecosystem. Our goal is to maintain and grow our leadership position through continued innovation in product and technology.
We are looking for a driven and detail-oriented Legal & Compliance professional to join our team. The ideal candidate should have expertise in Mutual Funds, PMS, or Stock Broking, with a deep understanding of SEBI regulations, compliance management, audits, due diligence, and licensing. The role requires a proactive individual with an ownership mindset, capable of working in a fast-paced environment while ensuring adherence to legal and regulatory frameworks.
Key Responsibilities
Ensure regulatory compliance with SEBI, AMFI, PFRDA, IRDAI, and other governing bodies for Mutual Funds, PMS, or Insurance products.
Oversee SEBI inspections, audits, and due diligence for regulatory filings and licensing requirements.
Draft, review, and manage contracts, service agreements, and vendor agreements to ensure compliance.
Work closely with cross-functional teams (Finance, Operations, Tech) to establish and implement compliance frameworks.
Stay updated on regulatory changes and provide strategic guidance to leadership for timely adaptation.
Ensure adherence to SEBI regulations in all aspects of business operations.
Collaborate with internal teams for risk management, internal audits, and governance reporting.
Conduct compliance training to build awareness and ensure alignment across departments.
Qualifications & Experience
Educational Qualification: CS / LLB with relevant compliance certifications.
Experience: 2-3 years of experience in Mutual Funds, PMS, or Stock Broking.
Proven track record in SEBI compliance, regulatory audits, and legal risk management.
Strong understanding of Mutual Fund & PMS regulations, stock broking compliance, and financial audits.
Experience in audits, inspections, contract negotiation, and regulatory filings.
Strong analytical, problem-solving, and communication skills.
Ability to work independently and thrive in a fast-changing regulatory environment.
Preferred Skills
Prior experience in Mutual Funds, PMS, or Stock Broking compliance.
Expertise in legal drafting, contract negotiation, and regulatory due diligence.
Experience in handling fintech-related legal and compliance matters.
Skills:- SEBI, PMS, Mutual funds and Legal
