Assistant Vice President - Compliance - Mutual Fund Business - CS

Job Description:

Job Title AVP - Compliance

Purpose Of The Role :

- Overall responsible for Compliance

Key Responsibilities:

- To oversee and assist in compliance related activities for the mutual fund business.

- To keep an update on regulatory changes and provide guidance to internal stakeholders.

- To liaise with the regulators for approval on new products/proposals.

- To coordinate with internal and external stakeholders on compliance matters.

- To coordinate for data & information required for SEBI Inspection, Statutory Audit of MF & AMC and Internal Audit.

- To review various Compliance reports for submission to AMC Board and SEBI.

- To review advertisement and marketing communication to check compliance with Advertisement Guidelines.

- To oversee compliance with Employee Dealing Guidelines, Code of Conduct

- To undertake review of transactions as per PMLA Regulations and file STR/NTR with FIU.

- To review statutory notices and addenda before releasing.

- To draft and update Policies of the Company and also oversee compliance with policies.

- Training and Development

- Automation projects

Knowledge Skills And Experience:

- Educational Qualifications : Company Secretary

- Additional Certifications/Trainings (desirable): Preferred Experience

- Prior Experience: 8+ yrs of experience