- Execute the Compliance audits and Thematic reviews across AMC business functions, assessing adherence to SEBI Mutual Fund Regulations, AMFI guidelines, internal policies, and regulatory requirements.
- Identify audit observations, compliance and control gaps; recommend corrective actions, track implementation of remediation measures, and promote a strong culture of compliance across the organization.
- Monitor compliance with investment restrictions, ensuring adherence to regulatory and scheme-specific investment mandates.
- Interpret regulatory circulars, Scheme Information Documents (SIDs), and internal policies.
- Support regulatory inspections, internal and statutory audits and implementation of recent regulatory requirements and business initiatives.
- Drive automation and process improvement initiatives to strengthen governance, enhance control effectiveness, and improve operational efficiency across the Compliance function.