Manager / Sr Manager Compliance

4 days ago


delhi, 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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