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10/05 Amita
Associate at See and Recruit

Views:4200 Applications:76 Rec. Actions:Recruiter Actions:3

Senior/Chief Manager - Compliance - Law Firm (5-10 yrs)

Anywhere In India Job Code: 449769

Department: Legal, Compliance & Secretarial

Purpose of the Job

The position is responsible for assisting to Compliance Officer in ensuring the adherence to the SEBI Regulations and other related guidelines. To handled various project independently.

Key responsibilities

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

- To ensure timely implementation of various SEBI and AMFI circulars.

- To Co-ordinate with SEBI for timely approval of various products/ proposals.

- To ensure timely redressal of SEBI complaints on the SCORES Portal.

- To analyze the various business proposals from Regulatory perspective

- Ability to handle the multiple assignments in timely and efficient manner.

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

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

- To Co-ordinate with the Internal and statutory Auditors.

- To handle SEBI inspections independently.

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

- To independently handle marketing and product related campaigns.

- Vetting of various marketing/ advertising/ product related materials.

- Organizing various committee meetings

- Drafting, reviewing and vetting of various Policies and Manual.

Behavioral Competencies :

- Should be well versed with the SEBI regulations and other related guidelines.

- Ability to handle the compliance function independently

- Independently take initiatives to handle compliance work innovatively

- Solution oriented approach.

Role Specific Competencies: :

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

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

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

This job opening was posted long time back. It may not be active. Nor was it removed by the recruiter. Please use your discretion.

Women-friendly workplace:

Maternity and Paternity Benefits

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