Senior Manager - Compliance - MF/PMS - Asset Management Firm

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 unit holders, 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 globally;

- Investment limit monitoring (using Bloomberg System),, STR & AML, MF / PMS Compliance matters, regulatory reporting.

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,

- Minimum 6-8 years (3-4 with MF / PMS will be preferred)