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Compliance Officer

2 weeks ago

Mumbai Maharashtra, India Zyoin Web Pvt. Ltd. Full time

Job Title: Compliance Officer - Mutual Fund Compliance

Location**:Mumbai (on-site: Andheri/Belapur)**

Experience**:3+ years in Mutual Fund compliance**

Job Summary:
We are currently looking for compliance professionals with a graduation degree **from AMC, financial or NBFC industry **with **minimum 3 years of experience in Mutual Fund compliance.**

Roles and Responsibilities:

- Responsible for compliance under SEBI Regulations, Corporate Laws, etc. for Mutual Fund
- Supervising various Compliances as per SEBI Regulations on day-to-day basis, internal compliance systems, etc.
- Drafting of SID/SAI, Compliance Manual, etc.
- Interacting with the statutory authorities for approvals & clarifications
- Arrangements for Board Meetings, Committee meetings.
- Compliances with PMLA guidelines, etc.
- Drafting and Vetting of various distributor, office agreements, redressal of investor grievances, etc.
- Drafting minutes of AMC and Trustee CompanyReporting of compliances to SEBI, ROC, RBI, etc.
- Generation of MIS and reporting to top level management
- Handling of Statutory Audit, SEBI Audit, Internal Audit, etc.Checking of Compliance limits as per SEBI Regulations
- Liasoning with the auditors on compliance issues
- Providing compliance updates to various departmentsMonitoring & reporting of compliances relating to investors’ servicing to statutory authorities
- Approving advertisements for marketing dept.
- Ensure that the guidelines are adhered to for introduction of new schemes, change in load structure based on recommendations from marketing and sales.
- SEBI guidelines adherence for Offer documents - both external (SEBI, Custodians) and internal (Sales, Fund Managers, Operations )
- Ensure that all employees adhere to the SEBI guidelines.

Qualification:
**Bachelor's degree in any specialization**

**Should have 3+ years of experience in mutual fund compliance.**

Strong problem-solving and decision-making abilities.

Note:
If your profile matches, we will contact you for further steps.

Why should you apply?
- Career growth
- Rewards and recognition
- Attractive perks and benefits

About Zyoin Pvt. Ltd.

Zyoin Group is a solutions provider that partners with clients to deliver personalized solutions that meet their requirements. We achieve this by combining cutting-edge technology with industry expertise and best practices.

**Salary**: ₹1,000,000.00 - ₹1,500,000.00 per year

**Benefits**:

- Health insurance
- Provident Fund

Schedule:

- Day shift
- Monday to Friday

Application Question(s):

- Are you currently living in Mumbai?

**Experience**:

- Mutual Fund Compliance: 3 years (required)

Work Location: In person

**Speak with the employer**
+91 09937781364