Manager/Sr Manager Compliance

Job Description:

JOB INTENT

The position responsibilities would include ensuring compliance with SEBI Mutual Fund, PMS and AIF Regulations while also handling queries from internal departments and regulators and managing coordination for internal meetings.

JOB RESPONSIBILITIES

• Making/vetting SID of all new schemes and updating SAI
• Product vetting /Product compliance related tasks
• Vetting of marketing material /advertisements.
• Preparation and submission of addendums/notices.
• Reporting for all SEBI related queries and advises
• Regulatory reporting to SEBI/other regulators/entities and Boards.
• Renewal of mandatory/regulatory Licenses
• Ensure that a company follows the necessary laws and regulatory requirements for their industry.
• Ability to Coordinate with functions to ensure adherence to all Compliance related guidelines
• Ensuring compliance with statutory and regulatory requirements and for ensuring that decisions of the Board are implemented
• Responsibility to ensure that the company and its directors operate within the regulations
• Governance structures and mechanisms, corporate conduct within an organization’s regulatory environment, compliance with legal, regulatory and listing requirements
• Contact with regulatory and external bodies, communicate requisite reports and circulars to shareholders/trustees, management.
• To monitoring compliances related to Insider Trading Regulation.
• Working knowledge of SEBI AIF Regulations
• Working knowledge of SEBI PMS Regulations.