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Compliance Officer mutual Fund aif

4 months ago

Mumbai Maharashtra, India Arin Consultancy Full time

Compliance Mumbai _Mumbai Western Suburbs_ February 15, 2024 - February 15, 2025 Mutual Fund

**Job Overview**:

- **Office Location (Area) **Mumbai
- **Course Type **Full Time
- **Min Required Experience (Years) **2
- **Max Required Experience (Years) **5
- Responsible for overall Compliance, Legal and Corporate Secretarial functions of AMC and

Trustee Company of the Mutual Fund and AIF.
- Responsible for compliance under SEBI Regulations, Corporate Laws, etc. for Mutual Fund
- Supervising various Compliances as per SEBI Regulations on day-to-day basis, internal

compliance systems, etc.
- Drafting of SID/SAI, Compliance Manual, etc.
- Interacting with the statutory authorities for approvals & clarifications
- Arrangements for Board Meetings, Committee meetings.
- Compliances with PMLA guidelines, etc.
- Drafting and Vetting of various distributor, office agreements, redressal of investor grievances,

etc.
- Drafting minutes of AMC and Trustee Company
- Reporting of compliances to SEBI, ROC, RBI, etc.
- Generation of MIS and reporting to top level management
- Handling of Statutory Audit, SEBI Audit, Internal Audit, etc.
- Checking of Compliance limits as per SEBI Regulations
- 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 for marketing dept.
- Ensure that the guidelines are adhered to for introduction of new schemes, change in load

structure based on recommendations from marketing and sales.
- SEBI guidelines adherence for Offer documents - both external (SEBI, Custodians) and

internal (Sales, Fund Managers, Operations )
- Ensure that all employees adhere to the SEBI guidelines