Our Client is one of the fastest growing mutual funds in India with a presence in 160 cities across the country.
Purpose of the Job :
The position is responsible for assisting to Compliance Officer in ensuring the adherence to the SEBI Regulations and other related guidelines. To handled various project independently.
Key responsibilities :
- Assisting the Compliance Officer in ensuring, monitoring and complying with SEBI Regulations for Mutual Fund and Portfolio Management Services.
- To ensure timely implementation of various SEBI and AMFI circulars.
- To Co-ordinate with SEBI for timely approval of various products/ proposals.
- To ensure timely redressal of SEBI complaints on the SCORES Portal.
- To analyze the various business proposals from Regulatory perspective
- Ability to handle the multiple assignments in timely and efficient manner.
- Preparation/ Review of Agenda & minutes w.r.t the Compliance for the BOD of AMC/ Trustee Co. Meeting
- Drafting & Vetting of Scheme Information Document, Statement of Additional Information, notices, addendums and other statutory documents including documents pertaining to PMS functions.
- To Co-ordinate with the Internal and statutory Auditors.
- To handle SEBI inspections independently.
- Ensuring timely and correct Periodical Reporting to SEBI, RBI, AMFI and Board of AMC and Trustee Company.
- To independently handle marketing and product related campaigns.
- Vetting of various marketing/ advertising/ product related materials.
- Organizing various committee meetings
- Drafting, reviewing and vetting of various Policies and Manual.
Behavioral Competencies :
- Should be well versed with the SEBI regulations and other related guidelines.
- Ability to handle the compliance function independently
- Independently take initiatives to handle compliance work innovatively
- Solution oriented approach.
Role Specific Competencies :
- Ability to handle the compliance function pertaining to Mutual Fund & PMS.
- Analyzing and Vetting of various reports submitted to Regulatory Authorities, Board of AMC and Trustee Company etc.
- Sound knowledge of the various regulations like Companies Act, PMLA, SAST etc
Formal Qualifications / Prior Work Exp :
CS/CA/LLB with 8-10 years of experience, out of which at least 5 years should be of working in the Compliance department of a Mutual Fund House.
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