Principal Consultant at Symphoni HR Pvt Ltd
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Compliance Role - Mutual Fund (6-8 yrs)
Our Client, a Leading Global Mutual Fund having its presence in India is seeking experienced candidates for the role of 'Compliance' at its Mumbai Office.
POSITION PURPOSE :
- Investment limit monitoring;
- Reporting under MF / PMS regulations to SEBI, AMC / Trustee Board, AMFI, FIU etc.,
- Complete compliance responsibility for PMS;
- Compliance matters viz. offer documents / KIM, scheme launch (end to end compliance), new product launch, listing of schemes on exchanges; vetting of marketing materials, checking of inter-scheme transfers, review of HY financials and portfolios, Trustee report to unit holders, Manuals & policies implementation & updation, issue of notices & addendums pursuant to changes in scheme features.
- AML and STR (complete responsibility);
- Managing investment committee / STR Committee & Risk Management Committees i.e. meetings, agenda, minutes etc.;
- Keeping track of regulatory changes, carrying out impact analysis and tracking implementation;
- Form ADV filing, reports to be submitted to the firm's global team;
PRINCIPAL ACCOUNTABILITIES :
- Investment limit monitoring (using Bloomberg System),
- STR & AML, MF / PMS Compliance matters, regulatory reporting.
DESIRED KNOWLEDGE, EXPERIENCE & QUALIFICATION :
- C.S. / C.A. / MBA
- Minimum 6 to 8 years (3-4 with MF / PMS will be preferred)
- Female Candidates preferred.
Competencies : Execution skills, commitment, communication skill, teamwork,
Attributes : Eagerness to learn, ability to stretch in crunch situations & sustain pressures,