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AVP Compliances with Asset Management in Mumbai
2 weeks ago
PURPOSE OF THE ROLE
The incumbent will be responsible for ensuring all compliance policies and procedures of the organization comply with regulatory and ethical standards. Person should optimise existing processes and procedures and manage audit requirements
KEY RESPONSIBILITIES AND ACCOUNTABILITIES OF THE ROLE
- Regulatory Compliance
- MIS Reporting to Board of Trustees & AMC
- Regulatory Reporting on behalf of the AMC and Trustees
- Resolving Compliance related issues with department/ Official concerned
- Registration / Renewal of licenses with Regulatory Authority
- Handling Internal and Statutory audit requirements pertaining to the function and supporting the Compliance officer in handling SEBI Inspection
- Streamlining processes and documents as per compliance requirements
- Legal work covering drafting/perusing of various Agreements, documents, Investor Complaints and Arbitrations, etc.
- Organizational Level training on Compliance requirements
- Adhering to various Regulatory requirements
- Reviewing Marketing materials
- Monitoring of PMLA requirements
Strong support to compliance head to drive the function effectively
Minimum Experience of 10-12 years of which 6 7 years in Mutual Fund compliance
