SEBI Compliances

2 days ago

Mumbai, India Green Clover Full time

Job Description

Regulatory Compliance Monitoring

Assist in monitoring compliance with SEBI Mutual Fund Regulations, ensuring timely reporting by the Mutual Fund and AMC, including exception handling and escalation to SEBI, the Board of AMC, and Trustees.

Reporting to Regulators and Stakeholders

Ensure timely submission of periodical reports to SEBI, AMFI, Board of Trustees, and the AMC.

Investor Grievance Redressal

Address and resolve investor grievances promptly in coordination with relevant departments.

Investor Communications

Draft and prepare investor-facing materials including advertisements, factsheets, posters, and assist in front office transactions such as ISTs and FDs.

Compliance Documentation and Updates

Maintain and update the Compliance Manual regularly; provide timely updates to management on regulatory changes and their implications.

Employee Trade Monitoring

Approve personal trade requests of employees and provide guidance in line with the Employee Dealing Policy.

Scheme Filing and Regulatory Coordination

Assist in filing draft offer documents and new proposals with SEBI, and coordinate between SEBI and AMC for fast-track clearance of new mutual fund schemes.

Regulatory Obligations Follow-up

Follow up on pending commitments and obligations to SEBI and other regulatory authorities to ensure timely closure.

Audit and Inspection Compliance

Track and resolve compliance audit or inspection observations, and ensure implementation of corrective actions and systemic improvements.

Legal and Statutory Compliance

Maintain a sound understanding of the Companies Act, 2013, and applicable rules for ensuring compliance by group companies.

Regulatory Liaison and Governance

Handle communications and interactions with SEBI, stock exchanges, and other regulatory bodies. Draft minutes for Board and Committee meetings.

General Meeting Coordination

Organize and conduct annual general meetings for group companies and ensure timely preparation and maintenance of minutes.

Knowledge of Applicable Regulations

Possess working knowledge of SEBI Mutual Fund Regulations, RBI, FEMA, and NBFC-related compliance requirements.

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