Compliance Officer – Mutual Fund ARIN CONSULTANCY

The Corporate Institute; India; On-site; INR 2,500,000 - 4,500,000; Full time

Job summary

The Corporate Institute seeks a Compliance Officer (Mutual Fund) with 10+ years of experience to lead SEBI Mutual Fund compliance, monitor scheme-level restrictions, and oversee regulatory filings and governance for mutual fund schemes.

You will review SID/KIM and investor communications, coordinate audits including SEBI inspections, and manage AML/KYC and investor protection requirements while advising senior management on regulatory developments.

Qualifications

• Experience in compliance within Mutual Fund/AMC industries.
• Strong knowledge of SEBI MF regulations, circulars and AMFI guidelines.
• Proven experience in regulatory reporting, scheme compliance, audits and inspections.
• CS qualification preferred/required as per mandate.

Responsibilities

• Lead compliance with SEBI MF regulations and AMFI guidelines.
• Monitor scheme-level restrictions and regulatory compliance across schemes.
• Oversee regulatory filings, disclosures and reporting to SEBI, Board and Trustees.
• Review SID, KIM, advertisements and investor communications.
• Coordinate internal, statutory and regulatory audits including SEBI inspections.
• Oversee investor grievances, AML/KYC compliance and investor protection.
• Track regulatory developments and update internal policies and procedures.
• Provide guidance to senior management and strengthen governance.

Skills

SEBI Regulations

AMFI guidelines

Regulatory reporting

Audits & inspections

Investor communications

AML/KYC

Governance & controls

Education

Company Secretary (CS) qualification

Job description

Job Description – Compliance Officer (Mutual Fund)

Experience: 10+ Years

Industry: Mutual Fund / Asset Management Company (AMC)

Key Responsibilities:

• – Lead and oversee compliance with SEBI Mutual Fund Regulations, circulars, AMFI guidelines, and other applicable regulatory requirements.
• – Monitor scheme-level investment restrictions, exposure limits, and regulatory compliance across mutual fund schemes.
• – Oversee regulatory filings, statutory disclosures, compliance certifications, and reporting to SEBI, the Board, and Trustees.
• – Review Scheme Information Documents (SID), Key Information Memoranda (KIM), advertisements, and investor communications.
• – Coordinate internal, statutory, and regulatory audits, including SEBI inspections, and ensure timely closure of observations.
• – Oversee investor grievance redressal, AML/KYC compliance, and applicable investor protection requirements.
• – Track regulatory developments, assess their impact, and implement necessary changes in internal policies and procedures.
• – Provide compliance guidance to senior management and business teams while strengthening internal controls and governance frameworks.

Key Requirements:

• – 10+ years of relevant experience in Compliance within the Mutual Fund / AMC industry.
• – Strong expertise in SEBI Mutual Fund Regulations, SEBI circulars, and AMFI guidelines.
• – Proven experience in regulatory reporting, scheme compliance, audits, and regulatory inspections.
• – Qualified Company Secretary (CS) is preferred/required as per the hiring mandate.
• – Strong stakeholder management, analytical skills, and the ability to independently manage regulatory compliance matters.