Compliance Officer - Mutual Fund
Compliance Officer - Mutual Fund
Posted on :
06-02-2024
Employer Active
1 Vacancy
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Job Description
Job Title: Compliance Officer Mutual Fund compliance
Location: Mumbai (onsite: Andheri/Belapur)
Experience: 3 years in mutual fund compliance.
Job Summary:
We are currently looking for compliance professionals with a graduation degree from AMC financial or NBFC industry with minimum 3 years of experience in mutual fund compliance.
Roles and Responsibilities:
- Responsible for compliance under SEBI Regulations Corporate Laws etc. for Mutual Fund
- Supervising various Compliances as per SEBI Regulations on daytoday basis internal compliance systems etc.
- Drafting of SID/SAI Compliance Manual etc.
- Interacting with the statutory authorities for approvals & clarifications
- Arrangements for Board Meetings Committee meetings.
- Compliances with PMLA guidelines etc.
- Drafting and Vetting of various distributor office agreements redressal of investor grievances etc.
- Drafting minutes of AMC and Trustee Company Reporting of compliances to SEBI ROC RBI etc.
- Generation of MIS and reporting to top level management
- Handling of Statutory Audit SEBI Audit Internal Audit etc. Checking of Compliance limits as per SEBI Regulations
- Liasoning with the auditors on compliance issues
- Providing compliance updates to various departments Monitoring & reporting of compliances relating to investors servicing to statutory authorities
- Approving advertisements for marketing dept.
- Ensure that the guidelines are adhered to for introduction of new schemes change in load structure based on recommendations from marketing and sales.
- SEBI guidelines adherence for Offer documents both external (SEBI Custodians) and internal (Sales Fund Managers Operations )
- Ensure that all employees adhere to the SEBI guidelines
Qualification:
Bachelors degree in any specialization
Should have 3 years of experience in mutual fund compliance.
Strong problemsolving and decisionmaking abilities.
Note:
The interested candidate with relevant experience should be currently living in Mumbai.
If your profile matches we will contact you for further steps.
Why should you apply
- Career growth
- Rewards and recognition
- Attractive perks and benefits
About Zyoin Pvt. Ltd.
Zyoin Group is a solutions provider that partners with clients to deliver personalized solutions that meet their requirements. We achieve this by combining cuttingedge technology with industry expertise and best practices.
compliance,amc,regulations,reporting,sebi regulations,sid,mumbai,nbfc
Employment Type
Full Time
Key Skills
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