Roles and responsibility: ● To ensure timely compliance with the requirements of SEBI (Mutual Fund) Regulations;
● To review and update regular basis Compliance Manual and other policies;
● To conduct compliance awareness sessions on Insider Trading, etc;
● To ensure Compliance provision of the RBI Act, Foreign Direct Investment norms; AMFI Circulars & notices
...
● To maintain and update the compliance tracker/ RBI Act and other applicable regulations; AMFI Regulations
● Mutual Fund Reporting (Daily/Monthly/Bi-Monthly/Quarterly/Half yearly/Yearly) as per SEBI/RBI/PMLA guidelines/regulations.
● To Interpret the various Circulars of SEBI, AMFI, RBI, and other regulators and decide on a course forward for implementation.
● Having knowledge of PMLA Regulations and Anti Money Laundering rules.
● To coordinate with Internal Auditors, Statutory Auditors, SEBI Auditors;
● To maintain cordial relations with the regulators;
● Preparation of Board Agenda, Committee Agenda, and Minutes of the Meetings, To prepare notices, director’s report, and minutes for the Board and General meetings;
● Preparation and periodic updation of Scheme Information Documents
● Review of Half yearly and annual scheme reports/portfolio
● Co-ordinating with various inter-departments on Regulatory Requirements
● Well-versed with Clearing Marketing materials under advertisement code● Maintaining Statutory registers and records and ensuring timely filing of Annual reports, XBRL filings, Annual Returns, and other forms with MCA.
● Monitoring the activities of the Company in a proactive manner to detect and prevent potential breaches of compliance Skills required:
● Well-versed with SEBI (MF) Regulations
● Root cause analysis,
● Multitasking
● Experience working in AMC
● Effective Interpersonal Communication
show more
Roles and responsibility: ● To ensure timely compliance with the requirements of SEBI (Mutual Fund) Regulations;
● To review and update regular basis Compliance Manual and other policies;
● To conduct compliance awareness sessions on Insider Trading, etc;
● To ensure Compliance provision of the RBI Act, Foreign Direct Investment norms; AMFI Circulars & notices
● To maintain and update the compliance tracker/ RBI Act and other applicable regulations; AMFI Regulations
● Mutual Fund Reporting (Daily/Monthly/Bi-Monthly/Quarterly/Half yearly/Yearly) as per SEBI/RBI/PMLA guidelines/regulations.
● To Interpret the various Circulars of SEBI, AMFI, RBI, and other regulators and decide on a course forward for implementation.
● Having knowledge of PMLA Regulations and Anti Money Laundering rules.
● To coordinate with Internal Auditors, Statutory Auditors, SEBI Auditors;
● To maintain cordial relations with the regulators;
● Preparation of Board Agenda, Committee Agenda, and Minutes of the Meetings, To prepare notices, director’s report, and minutes for the Board and General meetings;
● Preparation and periodic updation of Scheme Information Documents
...
● Review of Half yearly and annual scheme reports/portfolio
● Co-ordinating with various inter-departments on Regulatory Requirements
● Well-versed with Clearing Marketing materials under advertisement code● Maintaining Statutory registers and records and ensuring timely filing of Annual reports, XBRL filings, Annual Returns, and other forms with MCA.
● Monitoring the activities of the Company in a proactive manner to detect and prevent potential breaches of compliance Skills required:
● Well-versed with SEBI (MF) Regulations
● Root cause analysis,
● Multitasking
● Experience working in AMC
● Effective Interpersonal Communication
show more