Compliance Role - Asset Management Firm

Hiring for the Compliance role with one of the top Brand into an Asset Management Company which ranks among the top 5 fund managers in India.

Location : Mumbai

KRA's :

Compliance of employees on trading regulations :

- Revising Policy on Prohibition of Insider Trading to bring the same in line with the SEBI Regulations and amending reporting portal accordingly.

- Escalating any exceptions to the Policy on Prohibition of Insider Trading and keeping a record of resolutions in this regard.

- Preparing a checklist of the Policy for the employees and having it circulated to ensure adherence

- Ensure timely pre-clearances for the employees and directors

- Oversee reconciliation at the end of the year to ensure 100% regulatory compliance

- Highlight any gaps on a quarterly basis to the risk team

- Review randomly picked sample recorded calls of dealers to check for any risks or red flags

- Deep dive into any suspicious calls to flag them to leadership for further action.

Compliance related to Portfolio Management Service :

- Timely preparation, filing / submitting of regulatory reports, Disclosure Document

- Revamping the PMS Common Application Form

- Renewal of License

- Addressing business queries

- Ensuring that advertisements are in line with the Regulations

- Streamlining PMLA process for PMS business

- Ensuring general compliance with SEBI (Portfolio Managers) Regulations, 1993.

Handling Audits :

Central point of contact for all audit requirements for AMC(internal, statutory and SEBI)

- Ensuring effective closure of all open audit points

- Minimize adverse observations and escalate unresolved issues

- Draft suitable management response for observations, if any in the audit reports in consultation with the functional departments.

- Guide and develop team members to maintain highest compliance standards.

- Facilitate development of skills of sub-ordinates to enable them to perform and achieve their KRA as well as take on higher responsibilities.

- Candidates who are willing to work and handle the entire Compliance process with one of the Biggest brand and relish working with the top management & carry lot of ownership towards the work.

- Candidates from Audit firm with exposure to mutual fund/PMS Compliance's are welcomed.

Salary Offered : 12-16 LPA Max

Kavita
8097107727