Posted By
Posted in
Banking & Finance
Job Code
1323228
Position Title - Assistant Manager/Deputy Manager - Compliance
Purpose OF the Job:
The position is responsible for assisting in ensuring the adherence to the SEBI Guidelines and Regulations.
Key Responsibilities:
- Responsible for overall Compliance of AMC and Trustee Company.
- Responsible for compliance under SEBI Regulations, Circulars issued there under & AMFI Guidelines (MF and PMS),
- Responsible for reporting under SEBI (Substantial Acquisition of Shares & Takeover) Regulations & SEBI (Insider Trading) Regulations.
- Supervising various Compliances as per SEBI Regulations on day-to-day basis, internal compliance systems, etc.
- Drafting of Scheme Information Documents & Statement of Additional Information.
- Review of Key Information Memorandum.
- Review of Compliance Manual, Employees Securities Dealing Policy, etc.
- Interacting with the statutory authorities for approvals & clarifications
- Reporting of compliances to SEBI, AMFI, RBI, etc.
- Liasoning with the auditors on compliance issues
- Providing compliance updates to various departments
- Monitoring & reporting of compliances relating to investors' servicing to statutory authorities
- Approving advertisements & other marketing material.
- Issue of Notices & Addendums.
- Ensure that the guidelines are adhered to for introduction of new schemes, change in load structure based on recommendations from marketing and sales.
- Uploading of reports on SEBI Mutual Fund & PMS portals.
- SEBI guidelines adherence for Scheme Information documents - both external (SEBI, Custodians) and internal (Sales, Fund Managers, Operations )
- Ensure that all employees adhere to the SEBI guidelines.
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Posted By
Posted in
Banking & Finance
Job Code
1323228