23 Oct
|
Axis Asset Management
|
Mumbai
23 Oct
Axis Asset Management
Mumbai
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 solid 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