Compliance Role - Mutual Funds

JOB PURPOSE

(Summarize in one statement why the job exists; and how it contributes to the overall objective of the company)

Responsible for ensuring compliance with the applicable rules, regulations including SEBI (Mutual Funds) Regulations, Companies Act, 2013 and, assisting business teams in audits and inspection, policies and helping with scheme documents, ad-hoc regulatory requirements and regulatory reports.

PRINCIPAL ACCOUNTABILITIES

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

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

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.