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Assistant Manager Compliance
1 week ago
Location:
Mumbai Corporate Office
Department:
Legal, Secretarial & Compliance
Grade:
IL 5 Organizational relationships Reports to: AVP CompliancePurpose of the Job:Responsible for handling SEBI mutual fund and PMS compliances and rendering support for other related matters
Key responsibilities:
Preparation & timely submission/ filings of statutory reports meant for Board of AMC, Trustee, AMFI & SEBI.Compliance of listing guidelines including coordination with NSDL/ CDSL/NSE /BSE etc.
Drafting of Scheme Information Documents, Statement of Additional Information, Key Information Memorandum, Notices & Addendums.
Drafting of PMS Disclosure Document.
Monitoring compliance requirements relating to investors servicing/ grievances etc.
Reviewing Advertisements & other marketing materials.
Uploading of reports on SEBI Mutual Fund & PMS portals.
Behavioral Competencies:
Good drafting & interpretational skills.
Proactive & positive approach.
Ability to independently handle delegated assignments.
Role Specific Competencies:
Should be well versed with SEBI regulations & Compliance procedures Ability to handle defined compliance activities independently.
Formal Qualifications / Prior Work Exp:
CS/ CA with/ without LLB with 4 5 years' experience of MF Industry is essential.
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