Compliance Officer - BFSI

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.