Tm - Compliance

**Alternative Investment Funds**
- To prepare, review and file PPMs/CAs and Trust Deeds for the launch of all Funds under AIF.
- To upload monthly/quarterly reports on SEBI
- To prepare, review and submit CTRs of schemes to the board and SEBI (if needed)
- Timely updation of PPMs
- Vetting investor communications/reports sent to investors
- To coordinate for winding up of Funds launched under AIF
- Addressing all ad-hoc data and audit requirements
- Updating and reviewing policies and manuals

Tracking and analyzing AIF related circulars

Compliance as per PMLA
- Ensure data from CAMS is received on monthly basis on any flags like frequent redemptions in a short period of time
- Undertake internal review of the data received as per parameters defined by AMFI
- Upload STR on Financial Intelligence Unit portal within 7 days for any suspicious data
- Assist in conducting STR meeting
- Preparing Agenda and Minutes for STR committee meeting and ensuring that they are circulated within time
- Updating PMLA policy

Tracking and analyzing PMLA related circulars

**Product Compliance**
- Reviewing product proposal received from Products team and providing feedback on structuring of Product.
- Reviewing Scheme Information Documents (SIDs), filing it with SEBI for clearance and proactively addressing clarifications raised by SEBI about all products filed.
- Reviewing all 50 SIDs/KIMs and ensuring that annual updation of all schemes is undertaken within timelines.
- Liaising with internal product team and investment team for any product specific queries from SEBI.
- In exceptional situations, creation of segregation of units and listing of those units
- Review of Annual and Bi-monthly updation of SAI
- Reviewing all notices for various proposals like change in exit load, change in benchmark, fund managers, etc.

Review and ensure all listing related compliances are undertaken for all close ended schemes within timelines.

**Facilities, Asset Allocation and Merger of schemes**
- Seeking approval from Trustees and AMC Directors and clearance from SEBI, in case of changes in Fundamental Attributes and merger of Schemes
- Drafting addendum for change in Fundamental attributes/mergers to be issued in newspapers about the changes and provides the same to SEBI

Monitoring compliance related activities post SEBI clearance

Appointment & cessation of Key Managerial Personnel’s, Directors,
- Reviewing and filing of biodata, affidavits, etc. on timely basis with SEBI for all Director/KMP appointments/cessations

Review of notice cum addendum to be published in the newspapers and filing the same with SEBI.

**Other compliance related activities**
- Review of compliance manual
- Updating various compliance trackers
- Tracking and disseminating SEBI orders

Reviewing and publishing various notices and addendums

**Approval of marketing literatures**
- Ensuring that marketing literature meets regulatory norms as defined by SEBI, AMFI, Group and AMC by meticulous vetting
- Validate TV commercials, radio commercials, external presentations, investor education adverts, disclaimers, website, app, privacy policy, etc for compliance
- Ensure that the clearance is provided within a short time frame (generally 1 day)
- Filing the released marketing materials with SEBI within 7 calendar days
- To review and clear advertisement pertaining to Investor Education

Reviewing website

Implementation of new circulars and listing compliance
- Tracking and ensuring compliance with SEBI/AMFI circulars.

Ensuring all compliances pertaining to listing of schemes is done within regulatory timelines

**Qualifications**:
Others

**Minimum Experience Level**:
2-4 Years

**Report to**:
Senior Chief Manager