Compliance Manager

4 days ago

Mumbai, Maharashtra, India SKS Enterpprises - Human Resource Planning and Management Full time ₹ 12,00,000 - ₹ 36,00,000 per year

Position Name - Compliance Manager - Mutual Fund

Location - Mumbai

Experience Range -
8-10 years

Mandatory Requirement:

  • strong background in compliance within the Mutual fund/Trustee/Financial Services domain, with expertise in regulatory frameworks, risk management, and governance processes.

Job Roles and Responsibilities:

Independently manage reporting requirements to SEBI, AMFI, AMC / Trustee Board. Also cater to the reporting needs of the management as may arise from time to time.

Framework i.e. policies around PMLA, KYC, processes around client due diligence, analysis of alerts, tracking regulatory / industry developments, minutes, paperwork.

Implementation of Policies around conflict of interest, viz. Gift & Entertainment, Anti-bribery, Outside Business Activities, Error Escalations & Corrections, Fraud Escalation etc.

reporting on a regular basis to the regulatory body and progress of implementation, and assisting these components in establishing methods to improve efficiency and quality of services, and to reduce the vulnerability to non compliance and abuse.

Co-ordination with regulators and other Industry/regulatory bodies.

Submission of response/documents, Marketing material , Scheme documents and updates to the regulators.

Coordinating internal compliance review and monitoring activities, including periodic reviews of functions

Interpretation and distribution of regulatory directives received from time to time and Provide interpretation of regulations to the functions of the AMC

Review compliance of public documents and product related document.

Preparation and submission of regulatory reporting to Boards and regulators.

Vetting of documents in terms of regulatory compliance and other factors.

Support for implementation and monitoring of investment compliance.

Preparation and submission of Compliance test reports to the regulators.

Any other compliance activities as per the SEBI regulations and auditors as may be delegated from time to time.

Ensure adherence of PIT guidelines by organization.

Bloomberg limit monitoring module knowledge will be added advantage

Audit & Inspection related Co-ordinations.

Qualification and Experience:

7 years + relevant work experience in Mutual Fund Industry

Qualifications: C.A. / C.S./ MBA / Law Graduate. Candidates not having professional qualification but with relevant MF / AMC industry experience

Execution skills, analytical bend of mind, communication skills, ability to decode the regulations, solution oriented, good drafting skills, Further the candidate should have good skills in excel.

Commitment, passion for work & eagerness to learn, teamwork, ability to support the business during crunch situations & sustain pressures, manage relationship with all the stakeholders

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