Compliance Officer - Mutual Fund

- Compliance Officer (Mutual Fund)

Experience: 10+ Years

Industry: Mutual Fund / Asset Management Company (AMC)

Key Responsibilities:

• Lead and oversee compliance with SEBI Mutual Fund Regulations, circulars, AMFI guidelines, and other applicable regulatory requirements.
• Monitor scheme-level investment restrictions, exposure limits, and regulatory compliance across mutual fund schemes.
• Oversee regulatory filings, statutory disclosures, compliance certifications, and reporting to SEBI, the Board, and Trustees.
• Review Scheme Information Documents (SID), Key Information Memoranda (KIM), advertisements, and investor communications.
• Coordinate internal, statutory, and regulatory audits, including SEBI inspections, and ensure timely closure of observations.
• Oversee investor grievance redressal, AML/KYC compliance, and applicable investor protection requirements.
• Track regulatory developments, assess their impact, and implement necessary changes in internal policies and procedures.
• Provide compliance guidance to senior management and business teams while strengthening internal controls and governance frameworks.

Key Requirements:

• 10+ years of relevant experience in Compliance within the Mutual Fund / AMC industry.
• Strong expertise in SEBI Mutual Fund Regulations, SEBI circulars, and AMFI guidelines.
• Proven experience in regulatory reporting, scheme compliance, audits, and regulatory inspections.
• Qualified Company Secretary (CS) is preferred/required as per the hiring mandate.
• Strong stakeholder management, analytical skills, and the ability to independently manage regulatory compliance matters.