Compliance Role - BFSI/Financial Services

Compliance_Financial Services_BFSI

Job Description:

Roles & Resposibilities:

PRINCIPAL ACCOUNTABILITIES:

(Accountabilities associated with the job)

SEBI (Mutual Funds) Regulations, 1996

1. Monitoring requirements:

- Coordination and follow up with employees for employee dealing guidelines and prohibition of insider trading regulations

- Coordinating with service provider(s) for obtaining data for personal securities transaction (RTA & designated broker)

- Tracking of day to day compliances and follow up with concerned teams for timely submission.

2. Inspection and Audit:

- Coordination for with various functions for data collation and submission of same

3. Advertisement/ Website approvals:

- Reviewing advertisement, communication as per SEBI regulations.

- Tracking various regulatory submission on AMC website, SEBI & AMFI.

4. Periodic reports and scheme related documents:

- Assist in collation and preparation in periodic reports for submission to Board and SEBI

- Coordinating with concerned teams for collating information for SEBI/AMFI/RBI reports

- Tracking ad-hoc data requirements sent by SEBI and AMFI

- Assisting in collation of data required for filing of Scheme Information Document (SID), Key Information Memorandum (KIM) and Statement of Additional Information (SAI) and working on renewal of these documents.

Companies Act, 2013

- Cordinating with internal teams and assisting in preparing Board and Committee Meeting Agenda

4. DECISIONS:

(Key decisions taken by job holder at his/her end)

5. CHALLENGES:

(Challenges faced on an on-going basis in carrying out the job)

- To ensure timely receipt of accurate data from internal teams and external service providers

6. INTERACTIONS:

Internal Clients:

- Roles you need to interact with inside the organization to enable success in your day-to-day work

- Needs to work closely with investment team, operations team, product and marketing team

External Clients:

- Roles you need to interact with outside the organization to enable success in your day-to-day work

- Coordination with external service providers

7. SKILLS AND KNOWLEDGE:

(Minimum acceptable proficiency for this job which best indicates the education and/or experience requirements of this job and not the incumbent)

a) Qualifications: CS with / without LLB.

b) Work Experience:

- Approximately 3 to 5 years of experience. Candidate should be ready to work in unlisted financial services company in Compliance profile. Prior experience or working in Mutual Funds is not a pre-requisite. Candidate from Pune is preferable.

c) Personal Attributes/ Behavioral skills:

- Time Management

- Excellent interpersonal, teamworking and written/verbal communication skill