Senior Manager/AVP - Compliance - CA/CS/LLB

Education: CA/CS/LLB (Mandate)

Industry: Mutual Fund/Asset Management Companies

Skillset: Compliance in Mutual Funds

Exp: 9 Years to 14 years

Location: Mumbai

Mode: 3 days WFO per week

Timings: 9.30 am to 6.30 pm

- We are currently seeking an experienced professional to join the Regulatory Compliance Team (CT)

- This is a professional role in a dynamic growing team. Compliance analysis is the process of assessing and organization to ensure that it's operating within the relevant laws and regulations. You will be in charge of regulatory compliance by researching and communicating requirements; obtaining approvals. This role requires excellent relationship building skills as CT has strong partnership with various other business teams.

Responsibilities

- Expertise in review and interpretation of SEBI regulations

- To advise internal departments on new and existing regulatory requirements

- To maintain rapport with regulatory personnel by arranging continuing contacts, resolving concerns

- To prepare compliance reports to be filed with Board of Directors and SEBI, RBI, etc. by collecting, analyzing, and summarizing information

- To draft or review internal compliance policies

- To review marketing materials and ensure they are in line with regulatory requirements

- Preparing and updating Offer Documents and all other regulatory documents under SEBI regulations.

- To conduct internal reviews to test the adequacy of controls.

- Contribute to the continuous improvement of monitoring approaches

- Assist in regulatory inspections & audits

- Conduct monitoring activity under Anti-Money Laundering regulations

- Work closely with Senior Management on various regulatory and compliance matters.

- Contribute to team effort by accomplishing related results as needed

- Good understanding and experience of regulations pertaining Indian Mutual Funds. Knowledge of US / EU / APAC regulatory environment is a bonus

- Fair understanding of Companies Act

- 10-15 years of relevant experience with Professional qualifications (CS or CA with LL.B). Certification in AML or related field a bonus

- Understanding of the activities of asset management business lines and associated compliance risks

- Strong interpersonal skills with the ability to communicate effectively at all levels and to engage with senior FT staff within business units

- Excellent written communication skills - ability to communicate complex regulatory issues in writing

- Previous experience in Mutual Fund/ AMC Compliance team is highly desirable

- Regulatory Compliance, Thoroughness, Research Skills, Reporting Research Results, Building Relationships, Coordination, Audit, General Math Skills, Problem Solving, flexible and agile approach

- Ability to work under pressure and within tight timelines