Senior Regulatory Specialist

1 day ago


Surat, Gujarat, India beBeeCompliance Full time ₹ 50,00,000 - ₹ 80,00,000
Job Description

The primary objective of this role is to guarantee adherence to all regulatory requirements stipulated by SEBI, AMFI, and other pertinent authorities.

This position necessitates a detail-oriented and proactive individual with profound knowledge of SEBI Mutual Fund Regulations, AMFI Guidelines, and regulatory frameworks.

  • 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.
Key ResponsibilitiesRegulatory Compliance:
  • Guarantee 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.


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