Compliance Officer - Mutual Funds

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.