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Compliance mutual Fund financial Services pune

3 months ago

Pune Maharashtra, India Arin Consultancy Full time

Compliance Pune _Pune_ February 8, 2024 - February 8, 2025 Mutual Fund

**Job Overview**:

- **Office Location (Area) **Pune
- **Required Education **CS with/without LLB
- **Course Type **Full Time
- **Min Required Experience (Years) **3
- **Max Required Experience (Years) **5

**SEBI (Mutual Funds) Regulations, 1996**

**1. **Monitoring requirements**
- Coordination and follow up with employees for employee dealing guidelines and prohibition of insider trading regulations
- Coordinating with service provider(s) for obtaining data for personal securities transaction (RTA & designated broker)
- Tracking of day to day compliances and follow up with concerned teams for timely submission

**2. **Inspection and Audit**
- Coordination for with various functions for data collation and submission of same

**3. **Advertisement/ Website approvals**
- Reviewing advertisement, communication as per SEBI regulations.
- Tracking various regulatory submission on AMC website, SEBI & AMFI.

**4. **Periodic reports and scheme related documents**
- Assist in collation and preparation in periodic reports for submission to Board and SEBI
- Coordinating with concerned teams for collating information for SEBI/AMFI/RBI reports
- Tracking ad-hoc data requirements sent by SEBI and AMFI
- Assisting in collation of data required for filing of Scheme Information Document (SID), Key Information Memorandum (KIM) and Statement of Additional Information (SAI) and working on renewal of these documents..**Companies Act, 2013**
- Cordinating with internal teams and assisting in preparing Board and Committee Meeting Agenda
- **DECISIONS**

(Key decisions taken by job holder at his/her end)
- **CHALLENGES**

(Challenges faced on an on-going basis in carrying out the job)
- To ensure timely receipt of accurate data from internal teams and external service providers
- **INTERACTIONS**

**Internal Clients**

**Roles you need to interact with inside the organization to enable success in your day-to-day work**
- Needs to work closely with investment team, operations team, product and marketing team**External Clients**

**Roles you need to interact with outside the organization to enable success in your day-to-day work**
- Coordination with external service providers