Senior/Chief Manager - Compliance - Financial Services

Key responsibilities:

- 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 / Prior Work Exp:

CS/CA/LLB with 8-10 years of experience, out of which at least 5 years should be of working in the Compliance department of a Mutual Fund House.

Salary: 18LPA + Bonus