Key Roles & Responsibilities:
- Ensure compliance with SEBI (Mutual Funds) Regulations, circulars, guidelines, and AMFI norms.
- Assist in preparation, review, and timely submission of regulatory filings, disclosures, and reports to SEBI, AMFI, Trustees, and internal stakeholders.
- Monitor day-to-day compliance activities related to Mutual Fund operations, including NAV disclosures, scheme documentation, advertisements, and investor communications.
- Support internal compliance checks, audits, and regulatory inspections; coordinate with auditors and regulators as required.
- Track regulatory updates and circulars and assist in implementation across relevant teams.
- Maintain and update compliance manuals, SOPs, registers, and compliance dashboards.
- Provide compliance advisory support to business, sales, operations, and product teams.
- Assist in handling investor complaints from a regulatory and compliance perspective.
- Support risk assessments, compliance testing, and periodic reporting to senior management and trustees.
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