Compliance Officer

As a Compliance Officer at our Asset Management Company in Ahmedabad, your role is crucial in ensuring adherence to regulatory requirements set by SEBI, AMFI, and other relevant authorities. You will also play a key role in supporting internal policies, controls, and risk management frameworks. - Ensure ongoing compliance with SEBI (Mutual Fund) Regulations, AMFI Guidelines, and circulars. - Monitor and interpret changes in laws, regulations, and guidelines applicable to asset management. - File mandatory regulatory reports with SEBI, AMFI, and other authorities within stipulated timelines. - Monitor day-to-day AMC activities to ensure alignment with compliance policies. - Review product documents (SID, KIM, Fact Sheets) for regulatory adherence. - Oversee compliance processes related to fund accounting, NAV disclosure, and investor servicing. - Develop, implement, and continuously improve compliance frameworks, SOPs, and internal controls. - Conduct periodic compliance audits and risk assessments. - Investigate potential compliance violations and recommend corrective actions. - Conduct compliance awareness sessions for employees and key stakeholders. - Support the team in understanding new regulatory developments and their impact. - 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. - 5-10 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. If you are a detail-oriented and proactive professional with a strong background in compliance within the financial services sector, we encourage you to send your resume to hr@lakshyafunds.com with the subject line: Application for Compliance Officer - AMC.,