11/06 Joel D'Souza
Principal Consultant at Symphoni HR Pvt Ltd

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Compliance Role - Mutual Fund (6-8 yrs)

Mumbai Job Code: 707807

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.


- 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;


- Investment limit monitoring (using Bloomberg System),

- STR & AML, MF / PMS Compliance matters, regulatory reporting.


- 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,

Women-friendly workplace:

Maternity and Paternity Benefits

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