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Valerie Fernandes

Research Associate at SeenRecruit

Last Login: 16 August 2022

27027

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215

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26

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Job Code

455855

Chief Manager/AVP - Compliance - Mutual Fund/Asset Management

8 - 13 Years.Mumbai
Posted 6 years ago
Posted 6 years ago

Our client : Leading Asset management/Mutual Fund Company.

Qualification :

- Any Graduate

- CS/CA/LLB(qualified) with good academic credentials.

Reporting to : HOD Compliance & Legal

Job Responsibilities :

This is an Individual contributor role

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.

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.

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.

We are looking for candidates from Mutual Fund/ Asset Management Company background only. Apply with updated CV in Word format.

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Posted By

user_img

Valerie Fernandes

Research Associate at SeenRecruit

Last Login: 16 August 2022

27027

JOB VIEWS

215

APPLICATIONS

26

RECRUITER ACTIONS

Job Code

455855

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