Financial Services Compliance Manager

3 days ago


Gurgaon, Haryana, India Taurus Mutual Fund Full time
Job Title:

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:

  1. Assist the Trustee Company and discharge all such activities assigned to the Trustee Officer.
  2. Coordinate, supervise, and ensure compliance under SEBI MF Regulations, Corporate Laws, etc., for the Trustee Company as assigned by the Trustee Company.
  3. Liaise with the Compliance department and the MF Compliance function.
  4. Monitor the Action taken report prescribed by the Trustees and follow up action.
  5. 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.
  6. Ensure implementation of SEBI circulars regarding Trustee obligations.
  7. Prepare trustee reports to unitholders.
  8. Prepare trustee reports to be filed with SEBI, etc.
  9. Ensure implementation of all activities assigned by the Trustee Company and work under the supervision and direction provided by the Trustee Board.
  10. Interpret SEBI MF Regulations, various SEBI Circulars, and other statutory laws/regulations/guidelines.
  11. Execute roles needed to interact within the organization to enable smooth functioning of routine operations.
  12. Integral functions with internal teams like Investment Operations, Investments, Compliance & Risk, CEO Office, etc.
  13. Interaction with auditors and fulfillment of requirements.
  14. 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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