Job Description

Company Vision

We are making finance simple. For millions in India. Groww is on a mission to democratize access to financial services for millions of Indians responsibly. We are a customer-first company.
We believe in crafting the best and most delightful user experience for our customers. And we leverage first principle thinking and technology to solve problems at scale. If this excites you, join us.

About Groww

Groww is India’s fastest growing investment platform. Our long term vision to become the trusted money partner of ~100M Indians with core products in investment & banking. Groww was founded in 2016 by alums from Flipkart, ICICI, IITB, IITD, BITs Pilani and is backed by marquee investors like Tiger Global, Sequoia Capital, Ribbit Capital, and Y Combinator.

Our Values

We take pride in our values and hold ourselves to a high standard on:

• Radical customer centricity
• Simplicity in our products and personalities
• Transparency on everything
• Long term thinking
• Ownership driven culture

About The Role:
You should have adequate work experience in Mutual Fund compliance and strong domain knowledge. You should be well versed with the regulatory guidelines and reporting requirements and should have a solution oriented approach.

What You’ll Do:

• Responsibility for timely filing of Regulatory reports with SEBI/ AMFI/ FIU/ RBI (Daily, Monthly, Quarterly, Half yearly and Yearly)
• Preparation of SID, SAI and KIM.
• Preparation AMC and Trustees Board Meeting Agenda.
• Preparation of Compliance Committee/ Investment Committee Meeting Agenda.
• Preparation of Committee Meetings Minute.
• Approval of marketing materials, independently coordinate with the marketing/ product team.
• Website tracking and updation.
• Preparation of Notice/ Notice cum Addendum.
• Filing of new product with SEBI and Board.
• Launch of new products
• Follow-up with SEBI for product approvals
• Through knowledge about limit monitoring.
• Vetting of Annual Report.
• Vetting of HY portfolio and financial, in line with the format provided by SEBI.
• Process Appointment of Trustee Directors.
• Process Appointment of AMC Directors.
• Process Appointment of Key personnel.
• Preparation and annual review of various policies
• To track Quarterly and Annual Employee Declaration
• Provide Approval to Employees for trading in Equity and maintain a grey list.
• Vetting of Fact-sheet in line with AMFI guidelines.
• Setting-up of various compliance processes, in line with the regulatory guidelines
• To manage internal audit w.r.t compliance function
• To manage Regulatory Inspection
• Analyze Suspicious transactions report provided by RTA.
• To conduct AML committee meetings, whenever required.
• Filing of STR with FIU
• Review of 20/25 compliance
• Tracking of investment, as per SAST requirements and filing the report with NSE and company.
• Tracking of SEBI website and ensure timely implementation of SEBI and AMFI circulars
• Coordination with various departments on regulatory framework and its implementation

Job Requirement

• 7-10 years of relevant experience in the domain