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Compliance Officer

1 month ago

Ahmedabad, India Lakshya Asset Management Full time

Job Title: Compliance Officer

Location: Ahmedabad
Employment Type: Full-Time

Company: Lakshya Asset MAnagement Pvt Ltd.

About the Role:

We are seeking a detail-oriented and proactive Compliance Officer to join our Asset Management Company. The candidate will be responsible for ensuring adherence to all regulatory requirements laid down by SEBI, AMFI, and other relevant authorities, while also supporting internal policies, controls, and risk management frameworks.

Key Responsibilities:

Regulatory Compliance:

  • Ensure ongoing compliance with SEBI (Mutual Fund) Regulations, AMFI Guidelines, and circulars.
  • Monitor and interpret changes in relevant laws, regulations, and guidelines applicable to asset management.
  • File mandatory regulatory reports with SEBI, AMFI, and other authorities within stipulated timelines.

Fund & Operational Oversight:

  • Monitor day-to-day AMC activities to ensure they align with compliance policies.
  • Review product documents (SID, KIM, Fact Sheets) for regulatory adherence before launch or update.
  • Oversee compliance processes related to fund accounting, NAV disclosure, and investor servicing.

Internal Controls & Risk Management:

  • Develop, implement, and continuously improve compliance frameworks, SOPs, and internal controls.
  • Conduct periodic compliance audits and risk assessments across departments.
  • Investigate potential compliance violations and recommend corrective actions.

Training & Awareness:

  • Conduct compliance awareness sessions for employees and key stakeholders.
  • Support the team in understanding new regulatory developments and their impact.

Stakeholder Coordination:

  • Liaise with SEBI, AMFI, auditors, and internal teams for inspections, queries, and audits.
  • Maintain updated compliance records, correspondence, and documentation.

Qualifications & Experience:

  • Bachelors or Masters degree in Law, Finance, Commerce, or related field.
  • 5-15 years of experience in a compliance role within an AMC, mutual fund, or related financial services sector.
  • Strong knowledge of SEBI Mutual Fund Regulations, AMFI Guidelines, and regulatory frameworks.
  • NISM certification preferred.

Skills & Attributes:

  • Attention to detail with excellent analytical and problem-solving skills.
  • Strong verbal and written communication.
  • High ethical standards, integrity, and ability to handle confidential matters.