Manager/Senior Manager - Compliance - AIF & PMS - CA/CS/LLB

- C.A. and/ or C.S. and / or L.L.B.

- Experience : 6 to 10 years of experience in the Mutual Fund, PMS, AIF industry in the compliance

JOB PURPOSE:

- Managing regulatory compliance of PMS, AIF & Other businesses set up by Axis AMC in Gift City Gujarat.

JOB REQUIREMENTS:

COMPLIANCE RELATED BRIEF:

- Preparation and review of various regulatory reports / submissions and other documents under applicable SEBI/ RBI / SEZ/ IFSC & Other regulations applicable for Axis AMC businesses at Gift City.

- Preparation and review of internal processes / policies for Axis AMC businesses at Gift City.

- Ensuring compliance with internal and external regulatory framework for Axis AMC businesses at Gift City.

- Review compliance with investment restrictions for Alternates businesses at Gift City.

- To review marketing initiatives and provide necessary support in establishing appropriate compliance controls within the organization.

- Monitoring compliance with personal dealing policy of the company. Development and maintenance of Employee Dealing Software.

- To Update compliance policy(ies) and manuals and ensure relevant compliances

- Advise business related to applicable regulations for Alternate businesses.

- Addressing, reviewing & resolving of Investor complaints.

- Drafting / Vetting / updating applicable Offering documents viz Disclosure Document, Client Agreement, PPM, Contribution Agreement and other ancillary for client onboarding.

- Should have the ability to work independently in order take the assigned task to a logical conclusion

PROVIDING SUPPORT TO BUSINESS RELATED ACTIVITIES:

- Management of PMS/AIF Operations -Customer on-boarding, Investments, Banking and Fund Accounting Operations

- Client Onboarding- KYC Documentation & formalities

- Co-ordination with RTA, custody w.r.t. status of forms, status of a/c opening

- Maintenance of MIS

- Handling customer queries and reverting within the decided TAT with proper co-ordinations with RTA/Bankers/Custodians

- Co-ordination with Trustees for documentation etc.

- Settlement of trades

- Preparation of daily cash slow, Banking, Fund movement, Account opening etc

- Co-ordination with custodians/RTA with respect to Account opening, maintenance & closure of client bank and Demat account, trade processing, corporate action etc.

- Providing all the data to HO team w.r.t. regulatory filing, internal MIS

- Administrative responsibilities related to office

- Other responsibilities that may be assigned.