Managing Partner at Dimensions HRD Consultants
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Senior Manager/AVP - Compliance - MF/AMC (6-8 yrs)
Position Purpose: Investment limit monitoring;
- Reporting under MF / PMS regulations to SEBI, AMC / Trustee Board, AMFI, FIU etc.,
- Complete compliance responsibility for PMS;
- Compliance matters viz. offer documents / KIM, scheme launch (end to end compliance), new product launch, listing of schemes on exchanges; vetting of marketing materials, checking of inter-scheme transfers, review of HY financials and portfolios, Trustee report to unitholders, Manuals & policies implementation & updation, issue of notices & addendums pursuant to changes in scheme features.
- AML and STR (complete responsibility);
- Managing investment committee / STR Committee & Risk Management Committees i.e. meetings, agenda, minutes etc.;
- Keeping track of regulatory changes, carrying out impact analysis and tracking implementation;
- Form ADV filing, reports to be submitted to Organization globally;
- Investment limit monitoring (using Bloomberg System),, STR & AML, MF / PMS Compliance matters, regulatory reporting.
Knowledge, Skills, Competencies Knowledge, Experience & Qualifications: C.A. / C.S./MBA
- Competencies - execution skills, commitment, communication skill, teamwork,
- Attributes - eagerness to learn, ability to stretch in crunch situations & sustain pressures,
- Preferred Industry Experience - Minimum 6-8 years (3-4 with MF / PMS will be preferred)