Manager / Sr Manager Compliance

2 days ago


india Intellectual Capital HR Consulting Pvt. Ltd. Full time

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 & Updating 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 – BCom, ACS

 Industry - Mutual Fund



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