Job Description

Job description

Primary role

Preparing offer document, notice / addendum. Ensuring compliances with SEBI under the Mutual Fund's Rules, Regulations, FEMA, Anti Money Laundering laws and KYC requirements and ensuring that the procedures are followed and regularly reviewed Creation of limits in the Front Office System. Preparation of reports for SEBI and Board of Directors. Vetting of Advertisement / marketing materials. Liaising with auditors and resolving any audit query Review of Risk Management Framework. Conducting Committee meeting. Preparing & updating manuals and policies on timely basis Preparation of Investment Risk Report. Preparation of Investment Risk Report Providing regulatory updates to stakeholders. Ensure all compliance mandatory training are provided Handling compliance queries raised by employees of various business divisions PMLA Review and Checking


Job Overview (6603)

Experience

0 Month(s).

City

Surat.

Qualification

CS

Area of Expertise

NA

Prefer Gender

Any

Function

AMC - COMPLIANCE

Audio / Video Profile

NA