Job Description

Job description

Primary role

Preparing offer document, notice / addendum / reports for SEBI and Board of Directors / Investment Risk Report KYC requirements and ensuring that the procedures are followed and regularly reviewed Ensuring compliances with SEBI under the Mutual Fund's Rules, Regulations, FEMA, Anti Money Laundering laws. Creation of limits in the Front Office System Vetting of Advertisement / marketing materials. Liaising with auditors and resolving any audit query. Review of Risk Management Framework.

Seconday role

Conducting Committee meeting. Preparing & updating manuals and policies on timely basis. Monitoring of Insider Trading policy implementation. Providing regulatory updates to stakeholders & handling compliance query raised by internal stake holders. Ensure all compliance mandatory training are provided.


Job Overview (8106)

Experience

36 Month(s).

City

MUMBAI.

Qualification

CS

Area of Expertise

NA

Prefer Gender

Male

Function

AMC - COMPLIANCE

Audio / Video Profile

NA