Financial Services Compliance Manager
3 days ago
Financial Services Compliance Manager
About Us:Taurus Mutual Fund is a leading financial services company that offers a wide range of investment products to its customers.
Estimated Salary:Rs 12,00,000 per annum
Job Description:Company Overview: We are seeking an experienced Financial Services Compliance Manager to join our team. As a Financial Services Compliance Manager, you will be responsible for ensuring that our mutual fund operations comply with all relevant laws and regulations.
Key Responsibilities:
- Assist the Trustee Company and discharge all such activities assigned to the Trustee Officer.
- Coordinate, supervise, and ensure compliance under SEBI MF Regulations, Corporate Laws, etc., for the Trustee Company as assigned by the Trustee Company.
- Liaise with the Compliance department and the MF Compliance function.
- Monitor the Action taken report prescribed by the Trustees and follow up action.
- Coordinate statutory audits, SEBI audits, internal audits, etc., including presenting audit observations to the Trustees and working with the Trustee Board to provide Trustee comments for various audits and inspections.
- Ensure implementation of SEBI circulars regarding Trustee obligations.
- Prepare trustee reports to unitholders.
- Prepare trustee reports to be filed with SEBI, etc.
- Ensure implementation of all activities assigned by the Trustee Company and work under the supervision and direction provided by the Trustee Board.
- Interpret SEBI MF Regulations, various SEBI Circulars, and other statutory laws/regulations/guidelines.
- Execute roles needed to interact within the organization to enable smooth functioning of routine operations.
- Integral functions with internal teams like Investment Operations, Investments, Compliance & Risk, CEO Office, etc.
- Interaction with auditors and fulfillment of requirements.
- To ensure that investors' complaints are resolved in a timely manner.
Qualification: MBA Finance/Company Secretary with minimum 5 years of experience in financial services industry.
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