Nippon India Mutual Fund - Assistant Manager/Deputy Manager - Compliance

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.