Deputy Manager Compliance
Year Mumbai, Maharashtra, India
Job Description
Department
Compliance
Job posted on
Dec 30, 2022
Employment type
Full Time
Experience range
2 years - 5 years
Below is a list of the key responsibilities of the Deputy Manager \xe2\x80\x93 Compliance. This list is not exhaustive and be may adapted by the company from time to time as and when required. Compliance
- Regulatory Compliance of Securities Act, Mutual Fund Regulation and other regulatory bodies
- Filing of Regulatory Reports with SEBI, RBI , AMFI
- Reporting to the Boards with quarterly and half yearly reports in accordance with SEBI (Mutual Funds) Regulations, 1996 and such other reports as are prescribed by the Regulator from time to time
- Monitoring SEBI restrictions on the Schemes of the Mutual Fund
- Monitoring of Schemes on the Limitations out of prospectuses
- Preparing and updating SID/ KIM in compliance with the SEBI Regulations
- Pre-clearance of all marketing materials and filing the same with the Regulator
- Providing pre-clearance to personal trades in compliance with the Insider Trading Policy
- Monitoring compliance with applicable SEBI Regulations
- Monitoring compliance with the Anti-Money laundering Policy
- Assisting the translation of DaiIchi and Union Bank Group standards (if relevant), international best practices and local market regulation in a coherent, workable way to the different functions and processes of the AMC
- Co-ordinating the Internal Audit Function
- Assisting in the preparation of Agenda for Committee and Board Meetings
- Assisting the Head \xe2\x80\x93 Compliance in such other matters that may be incidental to the Compliance, Legal and Secretarial functions, as may arise from time to time
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Job Detail
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Job IdJD2983971
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IndustryNot mentioned
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Total Positions1
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Job Type:Full Time
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Salary:Not mentioned
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Employment StatusPermanent
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Job LocationMumbai, Maharashtra, India
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EducationNot mentioned
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ExperienceYear