L&T Financial Services - Group Regulatory Compliance Role

JOB PURPOSE :

- To ensure compliance with SEBI (Mutual Funds) Regulations, and handle regulatory inspections/scrutiny.

- To assist in Compliance function for Merchant Banking (MB), Investment advisor and for any other SEBI intermediary as may be registered from time to time

PRINCIPAL ACCOUNTABILITIES :

Accountabilities :

- Compliance Function for MF business

Develop and maintain Relationships with SEBI officials at various levels

Major Activities :

- Regulatory Inspections

- Providing Compliance inputs on launches of MF schemes

- Providing compliance inputs on resolution of customer complains

- STR review

- Regulatory reporting

- Regular interaction with SEBI desk officer and policy department

- Regular interaction with AMFI officials

Key Performance Indicators :

- Experience of handling Mutual Fund compliances shall be the pre-requisite

- Experience/ working knowledge of Merchant Banking and Investment advisor will be an added advantage.

- Develop and maintain Relationships with SEBI officials at various levels

- Regular interaction with SEBI desk officer and policy department

- Regular interaction with AMFI officials Development of contacts with Key officials, getting inputs from them on regulatory matters

- Development of contacts with Key officials, getting inputs from them on regulatory matters