The position is responsible for assisting to Compliance Officer in ensuring the adherence to the SEBI Regulations and other related guidelines. To handled various project independently.  - Assisting the Compliance Officer in ensuring, monitoring and complying with SEBI Regulations for Mutual Fund and Portfolio Management Services.  - To ensure timely implementation of various SEBI and AMFI circulars.  - To Co-ordinate with SEBI for timely approval of various products/ proposals.  - To ensure timely redressal of SEBI complaints on the SCORES Portal.  - To analyze the various business proposals from Regulatory perspective   - Ability to handle the multiple assignments in timely and efficient manner.  - Preparation/ Review of Agenda & minutes w.r.t the Compliance for the BOD of AMC/ Trustee Co. Meeting  - Drafting & Vetting of Scheme Information Document, Statement of Additional Information, notices, addendums and other statutory documents including documents pertaining to PMS functions.   - To Co-ordinate with the Internal and statutory Auditors.  - To handle SEBI inspections independently.  - Ensuring timely and correct Periodical Reporting to SEBI, RBI, AMFI and Board of AMC and Trustee Company.   - To independently handle marketing and product related campaigns.  - Vetting of various marketing/ advertising/ product related materials.  - Organizing various committee meetings  - Drafting, reviewing and vetting of various Policies and Manual.   Behavioral Competencies   - Should be well versed with the SEBI regulations and other related guidelines.   - Ability to handle the compliance function independently  - Independently take initiatives to handle compliance work innovatively  - Solution oriented approach.  Role Specific Competencies:  - Ability to handle the compliance function pertaining to Mutual Fund & PMS.  - Analyzing and Vetting of various reports submitted to Regulatory Authorities, Board of AMC and Trustee Company etc.  - Sound knowledge of the various regulations like Companies Act, PMLA, SAST etc.  Formal Qualifications - CS/CA/LLB

Mumbai

Senior/Chief Manager - Compliance - CS/CA/LLB - BFSI 

Senior/Chief Manager - Compliance - CS/CA/LLB - BFSI  ,Job Description for Senior/Chief Manager - Compliance - CS/CA/LLB - BFSI  in Quester Consulting in  Mumbai for (8-13) years of experience. Apply Now!

Job Description for Senior/Chief Manager - Compliance - CS/CA/LLB - BFSI  in Quester Consulting in  Mumbai for (8-13) years of experience. Apply Now!