Chief Manager - Regulatory Compliance - LLB/CS - Mutual Fund

We have 1 very urgent position in one of the reputed BFSI brand :

POSITION - Chief Manager - Regulatory Compliance ( Mutual Fund )

LOCATION :- Mumbai

CTC : 22lac to 30lac p.a. approx ( including 20% variables, depending upon current package, experience, education, interview status )

JOB DESCRIPTION :

- To act as a Compliance officer for Mutual Fund arm .

- To ensure compliance with the applicable rules/ regulations including SEBI (Mutual Funds) Regulations, and handle regulatory inspections/ scrutiny.

- To assist business teams in new launches of MF schemes and ensuring compliance with SEBI listing regulations

- To oversee Compliance function for Merchant Banking( MB) and Infra Investment Partners

Accountabilities Major Activities Key Performance Indicators :

- Oversee Compliance Function for MF business - Handling SEBI Inspections

- Providing Compliance inputs on launches of MF schemes

- Providing compliance inputs on resolution of customer complains

- To assist MB team for development of New products/structures

- To evaluate Marketing materials for MF schemes

- To assist in preparation of Info Memorandum for MB proposals as & when required

Good Knowledge of SEBI regulations for MF, MB and Investment Advisory business

Develop and maintain Relationships with SEBI officials at various levels - Regular interaction with SEBI desk officer and policy department

- Regular interaction with AMFI officials Development of contacts with Key officials, getting inputs from them on regulatory matters

SKILLS AND KNOWLEDGE :

Educational Qualifications

- Qualified Company Secretary with at least 7-13 years experience with Mutual Fund Industry.

Functional Skills :

Networking Skills :

- Should have existing relationships with SEBI officials

- Should be able to guide the team for Regular MF related activities

Communication Skills :

- Ability to effective/persuasive communication with the regulators for putting forth companys point of view and obtain favourable responses

- Ability to interact and manage SEBI relationship at various levels

- Managerial Skills

- Ability to mentor and guide the teams with respect to SEBI filings, Approvals for MF schemes etc,

TCPL