Senior Manager/Assistant Vice President - Compliance - Asset Management

Designation: Senior Manager/ AVP

Reporting to: Group Compliance Officer

Location: Mumbai

Key Roles & Responsibilities:

- Independently manage reporting requirements to SEBI, AMFI, AMC / Trustee Board. Also cater to the reporting needs of the management as may arise from time to time.

- Framework i.e. policies around PMLA, KYC, processes around client due diligence, analysis of alerts, tracking regulatory / industry developments, minutes, paperwork.

- Implementation of Policies around conflict of interest, viz. Gift & Entertainment, Anti-bribery, Outside Business Activities, Error Escalations & Corrections, Fraud Escalation etc.

- reporting on a regular basis to the regulatory body and progress of implementation and assisting these components in establishing methods to improve efficiency and quality of services, and to reduce the vulnerability to non-compliance and abuse.

- Co-ordination with regulators and other Industry/regulatory bodies.

- Submission of response/documents, Marketing material, Scheme documents and updates to the regulators.

- Coordinating internal compliance review and monitoring activities, including periodic reviews of functions

- Interpretation and distribution of regulatory directives received from time to time and Provide interpretation of regulations to the functions of the AMC

- Review compliance of public documents and product related documents.

- Preparation and submission of regulatory reporting to Boards and regulators.

- Vetting of documents in terms of regulatory compliance and other factors.

- Support for implementation and monitoring of investment compliance.

- Preparation and submission of Compliance test reports to the regulators.

- Any other compliance activities as per the SEBI regulations and auditors may be delegated from time to time.

- Ensure adherence of PIT guidelines by organization.

- Bloomberg limit monitoring module knowledge will be added advantage

- Audit & Inspection related Co-ordinations.

Minimum Qualification: C.A. / C.S./ MBA / Law Graduate, Candidates not having professional qualification but with relevant MF / AMC industry experience

Number of Years: 8-10 years + relevant work experience in Mutual Fund Industry