Compliance Officer

Position :- Compliance Officer

Experience :- 10 plus years of experience

Department :- Compliance

Location :- Gurugram

Job Role :- The key areas of responsibilities are as follows:

- To ensure, monitor and comply with SEBI Regulations for Mutual Fund and Portfolio Management Services.

- Drafting and Vetting of Scheme Information Document, Statement of Additional Information 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.

- Assisting in Handling of Statutory Audit, SEBI Audit, Internal Audit, etc.

- Checking of SAST limits as per SEBI Regulations.

- Monitoring & reporting of compliances relating to investors' servicing to statutory authorities.

- Approving various marketing materials

- Providing assistance to the MD and Compliance.

- Coordinating with the departments and compiling the documents and reports.

- Sending compliance mails to SEBI/AMFI (Filing of compliances reports in accordance with SEBI and AMFI applicable to Mutual Funds.)

- Preparing the disclosures, holdings, declarations for the Directors of AMC, Trustees and employees (access and non-access) and Fund Management Team as per SEBI / AMFI regulations on quarterly, half yearly and annual basis.

- Maintaining the records of the letters, files and all type of disclosures, holdings, declarations, documents like reports/notes, SEBI - AMFI documents filing, policies, manuals etc.

- Screening the mails and taking the appropriate action instructed by Compliance officer and forwarding the mail to the concerned department.

- Drafting & Clearances of all the Advertisements, Notices and Notice cum addendum published and Drafting of Notice and Notice cum Addendum related to Compliance.

- Scrutinizing and receiving the templates given by the employees.

- Compiling Key personnel details along with its Preclearance form if any securities traded for audit purpose.

- Reviewing & updating internal policies/ manuals at regular intervals.

- Coordinating for various Audits in the organization.

Academics:

Post Graduation with 10 plus years of relevant work experience in Compliance Role Qualified Company Secretary.

Knowledge & Essential Skills:

- Quick thinking and problem-solving skills.

- Able to work independently and as a team player.

- Excellent communication skills and active listening skills.

- Scrutiny of Documents, Time Management skills, Excellent Presentation Skills.

- Should have a thorough understanding of compliance related requirements and a clear and fair idea about the legal implications as well as Industry updates.

- Thorough understanding of regulatory framework and Taxation Laws.

- Positive and enthusiastic attitude.

- Leadership Qualities.