Key Responsibilities:
Regulatory Compliance
Ensure compliance with SEBI (Mutual Funds) Regulations, 1996 and subsequent circulars.
Monitor compliance with AMFI guidelines and other applicable laws.
Keep management informed about regulatory changes and their impact.
Scheme Compliance Monitoring
Monitor investment restrictions and scheme-specific limits.
Review portfolio transactions to ensure adherence to regulatory and Scheme Information Document (SID) requirements.
Regulatory Reporting
Submit periodic reports, certifications, and disclosures to SEBI, AMFI and trustees.
Trustee Coordination
Present compliance reports to the Board of Trustees/Trustee Company.
Assist trustees in carrying out their oversight responsibilities.
Policy & Governance Framework
Develop and update compliance policies, SOPs,
and internal controls.
Implement compliance frameworks for recent products and business initiatives.
Investor Protection
Oversight investor grievance redressal mechanisms.
Review advertisements, marketing communications, and investor communications.
Employee & Insider Trading Compliance
Monitor employee trading activities.
Administer personal dealing and insider trading controls.
Regulatory Inspections & Audits
Facilitate internal, statutory, and concurrent audits.
Ensure closure of audit observations and regulatory findings.