Compliance Officer - AMC

Job Title: Compliance Officer - AMC

Location:

Employment Type:

About the Role:

Compliance Officer

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:

• Bachelor’s or Master’s degree in

  Law, Finance, Commerce

  , or related field.

• 5–10+ 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.

How to Apply:

hr@lakshyafunds.com