Compliance Manager

Overview The Compliance Manager will support the Head of Risk & Compliance in implementing, monitoring, and strengthening the Group Risk & Compliance Management Frameworks. The role will advise and guide the business in meeting global, local, and regulatory obligations, while ensuring effective adaptation to evolving regulatory and legislative requirements within the compliance domain. This position requires a dynamic professional capable of navigating complex regulatory landscapes and global requirements, assessing organizational impact, recommending implementation guidelines, communicating requirements clearly to diverse stakeholders, and fostering collaborative partnerships to mitigate risk and drive continuous improvement.
Key Accountabilities and main responsibilities Strategic Focus 

• Deputise for the Head of Risk & Compliance as required.
• Support the development, implementation, monitoring, and enhancement of Risk Frameworks across Corporate Markets, Retirement Solutions divisions, India Hub Operations, and MUFG InTime businesses.
• Assist in embedding the Group Risk Appetite Statement into business operations.
• Provide strategic interpretation of regulatory developments and guide the organisation on adapting to evolving compliance expectations.

Operational Management 

• Draft, review, and update internal compliance policies, procedures, and codes of conduct aligned with MPMS global and regulatory requirements.
• Maintain audit trails, compliance logs, and ensure timely SOP and policy updates.
• Conduct periodic risk assessments (AML, KYC, sanctions, insider trading, etc.) to identify vulnerabilities and propose mitigation strategies.
• Review compliance dashboards and reports to detect anomalies and emerging risks.
• Investigate potential compliance breaches, misconduct, or irregularities; document findings and oversee corrective action plans.
• Prepare and submit compliance reports to senior leadership; maintain accurate documentation and regulatory correspondence.
• Serve as the primary point of contact for compliance-related queries and facilitate smooth coordination during audits.
• Embed compliance controls into operational workflows by collaborating closely with cross-functional teams.

People Leadership 

• Design and deliver compliance training programs, workshops, and communication materials for employees and leaders.
• Foster a culture of integrity, accountability, and compliance awareness across the organisation.
• Influence, persuade, and negotiate with stakeholders to ensure adoption and adherence to compliance policies and controls.
• Support the Head of Risk & Compliance by stepping into leadership responsibilities when required.
• Build strong partnerships across departments to strengthen compliance ownership at all levels.

Governance & Risk 

• Stay abreast of SEBI and other relevant regulators’ acts, regulations, guidelines, circulars, and notifications, ensuring their relevance to business operations.
• Track regulatory changes and advise management on implications, ensuring timely alignment with global and local frameworks.
• Strengthen the overall Group Risk & Compliance Management Frameworks.
• Ensure evidence-based governance through accurate records, audit trails, and documented compliance activities.
• Oversee the design and implementation of controls that reduce compliance, regulatory, and operational risks.

Experience & Personal Attributes Experience

• 7+ years in financial services, with at least 5+ years in a compliance-focused role.
• Proven experience handling SEBI compliance.
• Experience with Registrar and Transfer Agent (RTA) operations is an added advantage.
• Strong background in compliance, risk management, regulatory interpretation, and policy governance.

Personal Attributes

• Exceptional communication, interpersonal, and presentation skills to explain complex concepts with clarity.
• Strong analytical, critical-thinking, and problem-solving abilities.
• Demonstrated ability to work independently and collaboratively across functions.
• High levels of integrity, sound ethical judgment, and resilience under pressure.
• Ability to navigate difficult conversations and influence stakeholders effectively.
• In-depth understanding of relevant laws, regulations, and industry standards.

MUFG Pension & Market Services is a global, digitally enabled business that empowers a brighter future by connecting millions of people with their assets – safely, securely and responsibly. 

Through our two businesses MUFG Retirement Solutions and MUFG Corporate Markets, we partner with a diversified portfolio of global clients to provide robust, efficient and scalable services, purpose-built solutions and modern technology platforms that deliver world class outcomes and experiences. 

A member of MUFG, a global financial group, we help manage regulatory complexity, improve data management and connect people with their assets, through exceptional user experience that leverages the expertise of our people combined with scalable technology, digital connectivity and data insights.