- 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 current 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.

📌 Team Member - Compliance (Investment Compliance) (Mumbai)
🏢 Axis Asset Management
📍 Mumbai