Manager - Compliance - Mutual Fund
4 days ago
Department - Legal & Compliance
Designation - Manager / Senior Manager - Compliance
Reporting to - Head Legal & Compliance
Roles and Responsibilities :
(a) Responsible for reviewing, monitoring, and filing of Advertising Materials, PPTs, Articles, Fact Sheets
(b) Responsible for reviewing, interpreting, monitoring and implementation of circulars / notifications issued by SEBI / AMFI / PMLA
(c) Responsible for preparation Reports with SEBI / AMFI / Board of Directors of Asset Management Company / Trustee Company from time to time as per SEBI Mutual Fund Regulations, 1996.
(d) Responsible for due diligence / verification of Compliance Policies and Compliance Manual
(e) Responsible for Pre and Post Committee Meeting Functions - preparation of agenda papers, reports, minutes etc.
(f) Responsible for Preparation & Updation of Scheme Information Document / Key Information Memorandum / Statement of Additional Information
(g) Responsible for verification of compliances of various acts applicable to the AMC, Trustee and Mutual Fund
(h) Co-ordination with the Internal and Statutory Auditors
(i) Co-ordination within the Internal Departments
(j) Maintenance of Statutory Records and MIS
Experience - 3 to 8 Years in Mutual Funds
Qualifications - B.Com, ACS
Industry - Mutual Fund
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