Nuvama - Compliance Officer - Mutual Fund

The Mutual Fund Compliance Officer ensures that the mutual fund operates in compliance with applicable laws, regulations, and internal policies. This position involves overseeing the mutual funds compliance programs, monitoring day-to-day operations, conducting regular audits, and providing guidance to ensure the funds activities align with regulatory requirements.

Job description:

Regulatory Compliance: Monitor and ensure the mutual funds adherence to relevant regulatory bodies, such as the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), and other applicable agencies.

- Policy Implementation: Develop, implement, and maintain compliance policies and procedures for the mutual fund to ensure adherence to industry standards and regulations.

- Compliance Monitoring: Conduct ongoing monitoring of the funds activities to ensure compliance with investment strategies, risk management practices, and regulatory guidelines.

- Reporting and Documentation: Prepare and submit required regulatory filings, including Form N-1A, Form N-CSR, and other necessary documentation to ensure compliance with SEC rules.

- Internal Audits: Coordinate internal audits and assessments to ensure that all operational processes are compliant and identify potential areas of improvement.

- Training and Education: Provide compliance-related training to staff members to foster a culture of compliance within the fund management team.

- Investor Protection: Ensure that investor interests are protected by maintaining compliance with all disclosure requirements, fund governance standards, and anti-money laundering (AML) regulations.

- Risk Management: Work closely with risk management teams to assess and mitigate any compliance-related risks associated with fund operations.

- Regulatory Updates: Stay informed of changes in laws, regulations, and industry trends, and ensure the mutual funds policies are updated accordingly.

- Communication: Serve as a point of contact for regulatory bodies and communicate any regulatory concerns or findings effectively to senior management.