Manager - Compliance - CS/CA/LLB - BFSI

Manager - Compliance | Leading Financial Co| Mumbai

Curve HR is an executive search firm in BFSI, IT and Manufacturing space.

For one of our client, a Leading Financial Services Firm, we are seeking a Manager - Compliance

Position: Manager - Compliance

Education: CS/CA/LLB

Experience : 4-6 years of experience in Mutual Fund industry.

Location: Mumbai

Purpose of the Job

- The position is responsible for assisting in ensuring the adherence to the SEBI Guidelines and Regulations.

Role:

- Assisting the Compliance Officer in ensuring, monitoring and complying with SEBI Regulations for Mutual Fund and Portfolio Management Services.

- Drafting and Vetting of Scheme Information Document, Statement of Additional Information, notices, addendums and other statutory documents including documents pertaining to PMS functions.

- Ensuring timely and correct Periodical Reporting to Regulatory Authority such SEBI, RBI, AMFI and Board of AMC and Trustee Company.

- Liasioning with the Statutory Audit, SEBI Audit, Internal Audit, etc.

- Monitoring of SAST limits as per SEBI Regulations.

- Preparation/ Review of Agenda & minutes wrt the Compliance for the BOD of AMC/ Trustee Co. Meeting

- Approving various marketing/ advertising materials.

- Organizing various committee meetings

- Compliance with PMLA Regulations

- Drafting, reviewing and vetting of various Policies and Manual

Role Specific Competencies:

- Ability to handle the compliance function pertaining to Mutual Fund & PMS.

- Good drafting skills.

- Analyzing and Vetting of various reports submitted to Regulatory Authorities, Board of AMC and Trustee Company etc.

- Sound knowledge of the various other regulations like Companies Act, PMLA, SAST etc

Behavioral Competencies

- Should have experience of handling SEBI regulations and guidelines

- Ability to handle the compliance function independently

Rasika
Curve HR | Mumbai