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04/12 Shrikant Shirke
HR at Bajaj Finserv

Views:830 Applications:147 Rec. Actions:Recruiter Actions:79

Bajaj Finserv - Mutual Fund Compliance Officer - Investment Advisory Services (12-16 yrs)

Pune Job Code: 870234

Mutual Fund Compliance - Bajaj Finance Limited - Pune


Job Title : Compliance Officer - Investment Advisory Services ( Dy National Lead)


Location of Job Corporate Office - Pune

Reporting : Manager Business Head & General Counsel / Head Compliance Business Investment Advisory Services, Compliance

Band/Grade : E08

Years of Experience : 12 - 15 years


Relevant Experience - 5-7 years

Position Summary :

Compliance Officer shall be responsible for compliance by the Company in relation to Investment Advisory business as per the Regulations/ Notifications/ Guidelines/ Instructions issued by the SEBI and other Regulators from time to time

Must Have :

- Proactive, positive thinker and must possess winning attitude

- Review, understand and make analysis of the stipulated Regulatory guidelines vis-- -vis the business requirements, operational capabilities and ensure compliance of the same at all times.

- Relevant Certifications from AMFI/NISM, etc.

- Understanding of relevant laws and regulations relating to Investments business (e.g. SEBI, RBI, NBFC, Banking, etc.)

- Diverse experience in dealing with various compliance related issues in complex environment.

- Excellent communication (both written and oral) apart from report writing skills.

- Strong desire to support, initiate and execute in high paced growing environment.

- Should be a self-starter and a team player.

Duties and Responsibilities:

- Assist Business/ General Counsel Head - Compliance in handling activities relating to the Investment Advisory services and other compliances on a regular basis.

- Co-ordinating with Business / Operations and IT teams for implementation of systems and setting up of processes.

- Assist and co-ordinate with business and support functions on Compliance related issues.

- Thorough knowledge of SEBI, RBI - KYC, AML guidelines, rules, regulations.

- Dissemination/Interpretation of regulatory circulars and guidelines, Updating Key Management personal on latest circulars and actionable in this regard.

- Drafting, vetting and approving various disclaimers, terms and conditions, advertisements, posters etc., and communications to investors.

- Maintenance of Compliance Manual, Updating Management on changes in regulatory environment.

- Applying for various certifications, licenses to SEBI, AMFI, RBI

- Follow up on commitments/obligations to SEBI and other Regulatory bodies.

- Handling SEBI Inspections, follow-up on audit/inspection observations and incidents for systemic corrections, preparation of response to inspection observations, submission of report to the Management.

- Monitoring compliance of the SEBI Mutual Fund Regulations and timely reporting by MF/AMC and exceptions thereto, to SEBI, Board of Trustees.

- Handling and promptly resolving customer grievances.

- Timely submission of periodical reports to Regulators, AMFI and Board of Trustees.

- Any other work as may be assigned from time to time.

Required Qualifications and Experience:

- Masters / Bachelor Degree from a reputed university. Candidate with a professional qualification such as CA / CS/ ICWA would be an added advantage.

- Relevant experience with Mutual Fund Companies and Corporate Agents,

- Certification on financial planning or fund or asset or portfolio management or investment advisory services - from NISM or Organization /institution including Financial Planning Standards Board India / recognized Stock Exchange in India provided that such certification is accredited by NISM

- Post-Qualification Experience of 12 -16 years with the relevant experience of - 5-7 years.

- Handling reportings, customer grievances and transaction monitoring independently.

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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