Assistant Manager Compliance

1 month ago


Delhi, India Nippon India Mutual Fund Full time
Location: Mumbai - Corporate Office.

Department: Legal, Secretarial & Compliance.

Grade: IL 5

Organizational relationships Reports to: AVP - Compliance

Purpose 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.- Reporting under SEBI (Substantial Acquisition of Shares & Takeover) Regulations & SEBI (Insider Trading) Regulations.- 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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