Executive - Compliance

3 days ago

Borivli, Maharashtra, India Plan Ahead Wealth Advisors Full time ₹ 6,00,000 - ₹ 12,00,000 per year

Role & responsibilities

  • Setting up processes and calendars for internal compliance audit/review across all teams
  • Developing policies to support compliance and track non-compliance
  • Undertaking and conducting a periodic internal compliance audit
  • Writing and presenting reports to management outlining recommendations for improvements
  • Coordinating and handling (both internal & external) compliance audit queries
  • Setting up processes and trackers as per SEBI and AMFI guidelines for meeting relevant compliance requirements
  • Ensure 100% compliance with Audits, Controls, and Processes as per SEBI RIA and AMFI regulations
  • Submission of periodic reports to SEBI/AMFI/RBI/Management in accordance with mutual fund regulations and guidelines
  • Tracking and suitable action on SEBI portal and Scores portal requirements.
  • Tracking timely renewal of all applicable SEBI and AMFi licenses
  • Checking, tracking & maintaining compliance documentation for all clients
  • Maintaining appropriate qualification and certification records, documentation, and information relating to organization and team compliance
  • Ensuring timely collection and maintenance of quarterly/annual compliance requirements and disclosures from all teams and for the company
  • Compliance data management and website updation as per the compliance requirements
  • Dealing with compliance-related queries from teams, clients, or prospects in person, over the phone, or via email
  • Monitoring adherence to policies and reporting on compliance activities
  • Consulting with team members to identify root causes of non-compliance events
  • Working with teams to remediate incidents of grievance/complaint / non-compliance as applicable
  • Maintaining regulatory awareness through ongoing compliance training and induction
  • Developing and delivering training to the team on regulatory changes and raising awareness of their compliance responsibilities
  • Reading regulatory bulletins, and news publications and reviewing regulatory websites to stay current on regulatory changes and trends
  • Keeping oneself updated on changes in any Markets / Compliance / Regulatory processes/norms
  • To track the completion of action points arising out of audits & following up for action on them
  • Establishing a compliance calendar that identifies all important dates for regulatory and reporting matters, to ensure that important deadlines are met
  • Ensuring all manufacturer/vendor agreements are in line with applicable compliance requirements at all times.
  • Assisting/Coordinating with accounts team, and CA team for all statutory compliances such as AGM, Annual Report, etc.

If you are interested kindly email your updated resume to

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