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