Senior Manager/AVP - Compliance - NBFC/AMC

Career opportunity with leading NBFC (AMC) for Sr. Manager/AVP-Compliance

- 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.

- Manage / assist in various compliance matters viz. preparation / updation of offer documents / KIM, scheme launch (end to end compliance), listing of schemes, vetting of marketing materials, review of HY financials and portfolios, Trustee report to unit holders, approval of marketing materials, Manuals & policies implementation & updation, issue of notices & addendums pursuant to changes in scheme features, appointment of directors / key persons, merger / winding up of schemes / changes in fundamental attributes, tracking FMP maturities, responses to due diligences (the above activities will be shared with other colleagues in the department), monitoring of voice recording, monitoring alerts from Scores Portal for MF / PMS, NISM certification preparing comprehensive checklist for various regulatory activities.

- Implementation of regulations around Personal Trading, Insider Trading, Code of Conduct, policy framework vis- vis regulatory requirements, keeping track of regulatory developments, imparting training to employees, review of control framework, maintenance of records etc.

- Providing guidance to internal / external stakeholders on various regulatory & compliance matters.

- Suggesting measures for process improvements, automation, review & strengthening of controls framework, act as a change agent.

- AML Framework i.e. policies around PMLA, KYC, STR, processes around client due diligence, analysis of alerts, training of employees on AML matters, tracking regulatory / industry developments around AML matters & implementing the same at IAMI, liasioning with IVZ global AML team, Running STR Committee meetings, minutes, paperwork, whitelisting of investors, review of processes for checking of watchlist, UNSCR / MHA List etc.,

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

- Compliances under Listing Regulations as applicable to Mutual Funds.

- Distributors related compliances, Distributor due diligence etc.

- Regulatory change management i.e. keeping track of regulatory changes, analysis of circulars / notifications, impact analysis & tracking of implementations at IAMI, tracking orders issued by SEBI, SAT & Courts, informal guidance, & preparing impact / action points for IAMI.

- Support in managing regulatory inspections of MF / PMS especially w.r.t. AML, Insider Trading, Conflict of interest etc.

- Distributors related compliances, Distributor due diligence etc.

- Assist in investment limit monitoring.

- Other compliance matters as may be delegated from time to time.