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Risk Assurance Officer – Mutual Funds

2 weeks ago

Mumbai, Maharashtra, India Nuvama Group Full time
About the Job

The Nuvama Group is seeking a highly skilled Regulatory Compliance Specialist to oversee the mutual fund's compliance with regulatory requirements.

Responsibilities
  1. Regulatory Compliance: Ensure the mutual fund's operations comply with SEBI (Mutual Funds) Regulations, SEBI (Investment Advisers) Regulations, and other applicable laws.
  2. Monitoring & Reporting: Regularly monitor the mutual fund's activities to ensure adherence to compliance standards.
  3. Internal Policies & Procedures: Develop and implement internal compliance policies and procedures to meet regulatory standards.
  4. Investment Compliance: Monitor the fund's investment activities to ensure compliance with SEBI's investment guidelines.
  5. Investor Protection: Ensure all investor transactions comply with applicable regulations.
  6. Audits & Inspections: Facilitate SEBI inspections and internal audits to ensure compliance with regulatory standards.
  7. Training & Awareness: Conduct training and awareness programs for staff regarding SEBI regulations.
  8. Coordination with External Parties: Liaise with external auditors, legal advisors, and SEBI during regulatory-related matters.
  9. Reporting & Documentation: Maintain compliance-related documentation and records as per SEBI guidelines.
Requirements
  • Education: CS qualification preferred.
  • Experience: At least 10-12 years of experience in mutual fund compliance.
  • Skills: In-depth knowledge of mutual fund products, SEBI guidelines, and compliance standards.
  • Traits: Strong ethical standards, proactive attitude, and ability to work independently.