Senior Manager/Assistant Vice President - Compliance - Mutual Fund

Key Roles & Responsibilities:

- Regulatory Compliance

- MIS Reporting to Board of Trustees & AMC

- Regulatory Reporting on behalf of the AMC and Trustees

- Resolving Compliance related issues with department/ Official concerned

- Registration / Renewal of licenses with Regulatory Authority

- Handling Internal and Statutory audit requirements pertaining to the function and supporting the Compliance officer in handling SEBI

Inspection:

- Streamlining processes and documents as per compliance requirements

- Legal work covering drafting/perusing of various Agreements, documents, Investor Complaints and Arbitrations, etc.

- Organizational Level training on Compliance requirements

- Adhering to various Regulatory requirements

- Reviewing Marketing materials

- Monitoring of PMLA requirements

- Strong support to compliance head to drive the function effectively

Educational Qualification:

Graduate/CS/LLB qualified with good academic background

Technical & Professional Knowledge required:

- Sound knowledge of numbers

- Eye for detail

- Sound Knowledge of technology

Experience Required:

Minimum Experience of 10-12 years of which 6 - 7 years in Mutual Fund compliance