Position: Compliance Officer

Role Objective: To provide compliance oversight and support relevant group companies for various business / product lines, esp. Wealth Distribution, Investment Advisory and PMS.. Responsibilities include maintaining statutory compliance and helping develop and maintain policies and procedures in the relevant business areas.

Primary responsibilities include:

Mutual Fund Distribution:

- Handling compliance for Mutual Fund distribution division

- Monitoring implementation of Code of Conduct issued by AMFI

- Maintaining data required as per AMFI / Mutual fund regulation

- Handling AMFI Audit

- Renewal of AMFI License as per prescribed time lines

PMS:

- PMS Compliance Uploading of Monthly Reports, Half Yearly/ Yearly Compliance.

- Monitoring of new PMS regulation implementation, preparing Disclosure Documents and filing with SEBI and sending out to clients

- Coordinate PMS Yearly Audits

- Sending Risk Statement

- Renewal & maintenance of PMS Licenses

Investment Advisory Division:

- Looking after Regular Compliance of IA Division

- Updation of grievance on the company website as per regulation.

- Handling Internal Audit yearly / Half yearly for IA Division

- Renewal & maintenance of IA License

Complaints:

- Timely & proper investigation of serious or regulatory complaints.

- Monitoring SEBI SCORES portal and filing appropriate replies for complaints raised by clients

Other:

- Ensuring net worth compliance at all times for all the licenses the firm has

- Maintaining Grievance Register for PMS / IA

- Vetting of agreements /MOU/POA etc.

- Updating Investor grievances on Websites of the company for respective licenses

- Reviewing of various policies as required by regulators and update the same after obtaining approval from the Board

Qualifications :

- Graduate/CA/CS/MBA/LLB with 8-12 years' work experience

- NISM-Series III-A: Securities Intermediaries Compliance (Non-Fund) Certification Examination

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