Compliance Officer Jobs in Coimbatore Mutual Fund and AMC

📋 Job Description

Jobzi is sourcing qualified candidates for Compliance Officer positions in Coimbatore's private Mutual Fund and AMC sector. This is a full-time opportunity with a reputed Mutual Fund and Asset Management employer in Coimbatore offering competitive salary, structured growth, and a professional work environment. Tamil communication skills are preferred alongside English for professional and business interaction in Coimbatore.

📌 Key Responsibilities

• Monitor day-to-day AMC operations for compliance with SEBI (Mutual Fund) Regulations 1996, AMFI guidelines, and internal compliance policies
• Prepare and submit regulatory reports including portfolio disclosures, scheme performance reports, and SEBI inspection responses on time
• Review marketing materials, scheme fact sheets, and investor communication for regulatory compliance before publication
• Conduct periodic compliance training for AMC staff on SEBI norms, PMLA obligations, and AMFI code of conduct
• Liaise with SEBI, AMFI, and other regulators during inspections, audits, and query resolution
• Monitor distributor and IFA compliance with AMFI code and flag violations to the compliance committee
• Maintain a regulatory change tracker and update internal policies to reflect amendments to SEBI mutual fund regulations

🎓 Qualifications and Requirements

• What are the key provisions of SEBI (Mutual Fund) Regulations 1996 that a compliance officer must monitor daily?
• How do you prepare an AMC for a SEBI inspection?
• What are the PMLA obligations of an AMC compliance officer?
• Explain the AMFI code of conduct for mutual fund distributors and how an AMC enforces it.
• How do you handle a SEBI show cause notice issued to the AMC?
• What is the process for approving a new scheme information document (SID) before filing with SEBI?
• Describe your approach to building a risk-based compliance monitoring framework for an AMC.
• Good Tamil and English communication skills for team coordination and client interaction in Coimbatore.

✅ Required Skills

🏆 Certifications and Qualifications

NISM Series V-A (Mutual Fund Distributor) for distribution and sales roles; NISM Series XV (Research Analyst) for equity research roles; CFA (Chartered Financial Analyst) Level I/II for fund analyst and portfolio management roles; CFP (Certified Financial Planner) for wealth management roles; AMFI Registration Number (ARN) for sales and distribution roles; NISM Series X-A (Investment Adviser Level 1) for advisory roles; FRM (Financial Risk Manager) for risk management roles in AMCs; CA or CMA for compliance and fund accounting roles