Compliance Officer – Mutual Fund

4 weeks ago

Mumbai, Maharashtra, India Nuvama Group Full time
Position Summary:

The Mutual Fund Compliance Officer is responsible for ensuring that the mutual fund's operations, activities, and dealings comply with all the regulations, rules, and guidelines laid down by the Securities and Exchange Board of India (SEBI) and other governing authorities. This position is critical to ensuring the fund operates with the highest standards of governance, compliance, and regulatory adherence.

Key Responsibilities:

1. Regulatory Compliance:

- Ensure the mutual fund's operations and business activities comply with the SEBI (Mutual Funds) Regulations, SEBI (Investment Advisers) Regulations, and other applicable laws.
- Stay up to date with all changes to SEBI regulations and any relevant guidelines to ensure compliance with the latest requirements.
- Oversee regulatory filings with SEBI, AMFI, and other relevant authorities, ensuring timely submission and accurate documentation.

1. Monitoring & Reporting:

- Regularly monitor the mutual fund's activities, including investment transactions, pricing, NAV calculations, disclosures, and other fund operations, to ensure adherence to compliance standards.
- Review and monitor compliance with SEBI's norms for asset management companies (AMCs), including limits on investments, disclosures, and other investor protection measures.
- Prepare compliance reports for management, Board of Directors, and other stakeholders as required.

1. Internal Policies & Procedures:

- Develop, implement, and review the internal compliance policies and procedures to ensure they meet regulatory standards and best practices.
- Work with senior management to develop and maintain the fund's code of conduct and ethics, ensuring employees and stakeholders adhere to it.

1. Investment Compliance:

- Monitor the fund's investment activities to ensure that they comply with SEBI's investment guidelines and restrictions, including diversification norms, exposure limits, and liquidity requirements.
- Ensure that the Mutual Fund complies with SEBI's regulations on disclosures of scheme-related information (e.g., investment strategies, risks, returns).

1. Investor Protection:

- Ensure all investor transactions, including subscriptions, redemptions, and switches, are processed in compliance with applicable regulations.
- Oversee investor complaints and resolve them in accordance with the SEBI framework.
- Ensure timely and accurate reporting to investors as mandated by SEBI.

1. Audits & Inspections:

- Facilitate and coordinate SEBI inspections and internal audits to ensure all processes meet regulatory standards.
- Ensure compliance with the SEBI (Mutual Funds) Regulations during the audit process and address any findings or concerns raised during audits or inspections.

1. Training & Awareness:

- Conduct training and awareness programs for staff regarding SEBI regulations and internal compliance processes.
- Educate and update the team on any changes to mutual fund regulations or industry practices.

1. Coordination with External Parties:

- Liaise with external auditors, legal advisors, and SEBI during audits, inspections, or any regulatory-related matter.
- Handle communication with SEBI, AMFI, and other regulatory bodies for compliance-related matters.

1. Reporting & Documentation:

- Ensure all compliance-related documentation and records are maintained as per SEBI guidelines for audit purposes.
- Timely and accurate preparation of compliance reports, management updates, and regulatory filings.

Required Qualifications & Skills:

- Education:
- CS
- Professional certifications such as NISM – Series I, Series II, or other relevant certifications preferred.
- Experience:
- At least 8-10 years of experience in mutual fund compliance.
- Strong understanding of SEBI (Mutual Funds) Regulations, Investment Laws, and industry best practices.
- Experience working with regulatory bodies like SEBI, AMFI, etc., and handling inspections/audits.
- Skills:
- In-depth knowledge of mutual fund products, SEBI guidelines, and compliance standards.
- Excellent communication skills for report writing, presenting findings, and liaising with various stakeholders.
- Strong analytical and problem-solving abilities.
- Ability to work under pressure and handle multiple tasks simultaneously.
- Attention to detail and a high level of accuracy.

Desired Traits:

- Strong ethical standards and commitment to corporate governance.
- Proactive in keeping up with evolving regulatory changes.
- Ability to work independently and as part of a team.
- Strong organizational and time-management skills.

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