Zerodha Fund House Enabling the Next Generation of Indian Investors At Zerodha Fund House, we are redefining the mutual funds landscape to create simple, transparent, and cost-effective investment solutions for millions of Indians. Built by the pioneers behind Zerodha Broking Ltd and Case Platforms Ltd, we are on a mission to empower the next 10 crore investors in India to participate in and grow the capital markets. We are expanding our team and seeking passionate, analytical, and detail-oriented individuals to join us. RESPONSIBILITIES INCLUDE General Compliance Responsibilities • Assist in the finalization of reports to be filed with SEBI, AMFI, RBI and the Board of AMC and Trustees. • Assist in update of regulatory documents such as SID, KIM, and SAI. • Draft notices, addendums, and board communication related to compliance matters. • Pre-clearance of all marketing materials and filing the same with the regulator. • Assist in update of Compliance Manual and other policies. • Provide guidance to business and other teams on various compliance requirements. • Conduct compliance risk assessments and provide recommendations for risk mitigation. Research and Regulatory Updates • Proactively track and analyze new circulars and directives issued by SEBI and AMFI. • Prepare reports on the impact of regulatory changes. • Assist in implementing changes required by new guidelines, ensuring seamless compliance. • Provide support for research for new initiatives. Compliance Surveillance and Monitoring • Conduct reviews to ensure compliance with dealing room practices, insider trading regulations and ethical standards. • Analyze transaction/s to identify and report suspicious activities or regulatory breaches. • Review of call recordings, emails, and communications. • Review of personal transaction/s of employees. • Monitor compliance limit breaches/ alerts. • Proactively monitoring to detect and prevent potential breaches of compliance norms/ internal policies. Reporting and Liaison • Prepare various compliance related reports and MIS for the team. • Liaise with exchange/s on matters related to listed ETFs and other compliance requirements. • Coordinate with Internal Auditors, Statutory Auditors, and SEBI Auditors and Assist in handling SEBI inspection. REQUIREMENT • Total experience of 9-10 years with minimum 4 years of experience of working in the compliance department of Asset Management Company/ Mutual Fund. • Graduate/Postgraduate in Law, Finance, or related field; additional certifications (e.g., CS, CA, CFA, or compliance certifications) will be an advantage. • Excellent analytical, communication, and stakeholder management skills.