Compliance Officer - Mutual Fund

Job Description - 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.