IIFL Wealth Management - AVP - Compliance (7-12 yrs)
- Effective handling of all compliance related activities related of IIFL Mutual Fund and ensuring all compliances under SEBI Mutual Fund Regulations
- Managing approvals for launching of new schemes
- Reviewing various advertisement materials
- Independently handling of Anti Money Laundering Activities for Mutual Funds, Portfolio Management Services
- Handling of all compliance related activities relating to AIF, Portfolio Management Services and advising the departments on necessary compliance requirements
- Ensuring the compliance of Employee Dealing policy by the employees.
- Assisting in drafting of various policies or changes to be incorporated in policies.
- Preparation / Submission of various periodic reports to SEBI, AMFI and other regulatory agencies
- Liaising with the auditors- internal, concurrent and external auditors as well as handling of SEBI Inspection Audit relating to Compliance Dept.