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20/02 Abhinaya
Senior business development executive at Zyoin

Views:143 Applications:43 Rec. Actions:Recruiter Actions:0

Compliance Officer - BFSI (3-8 yrs)

Mumbai Job Code: 1377765

Requirements :


- Responsible for overall Compliance, Legal and Corporate Secretarial functions of AMC and Trustee Company of the Mutual Fund and AIF.


- Responsible for compliance under SEBI Regulations, Corporate Laws, etc., for Mutual Funds.


- Supervising various Compliances as per SEBI Regulations on a day-to-day basis, internal compliance systems, etc. Drafting of SID/SAI, Compliance Manual, etc.


- Interacting with the statutory authorities for approvals and clarifications.


- Arrangements for Board Meetings and committee meetings.


- Compliances with PMLA guidelines, etc.


- Drafting and Vetting of various distributors, office agreements, redressal of investor grievances, etc.


- Drafting minutes of AMC and Trustee Company.


- Reporting of compliances to SEBI, ROC, RBI, etc. Generation of MIS and reporting to top-level management.


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


- Check compliance limits as per SEBI Regulations. Liasoning with the auditors on compliance issues.


- Providing compliance updates to various departments.


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


- Approving advertisements for the marketing department.


- Ensure that the guidelines are adhered to for the introduction of new schemes and changes in load structure based on recommendations from marketing and sales.


- SEBI guidelines adherence for Offer documents both external (SEBI, Custodians) and internal (Sales, Fund Managers, Operations ).


- Ensure that all employees adhere to the SEBI guidelines.

Women-friendly workplace:

Maternity and Paternity Benefits

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