Compliance Officer

Position: Compliance Officer

Department: Compliance

Location: Gurugram

Reporting to: EVP - Governance

Qualification & Experience: Post Graduation with 10 plus years of relevant work experience in Compliance Role & Qualified Company Secretary.

CTC Range: As per industry standards

Job Role:

To ensure, monitor and comply with SEBI Regulations for Mutual Fund and Portfolio Management

Services.

Drafting and Vetting of Scheme Information Document, Statement of Additional Information and other statutory documents including documents pertaining to PMS functions.

Ensuring timely and correct Periodical Reporting to Regulatory Authority such SEBI, RBI, AMFI and

Board of AMC and Trustee Company.

Assisting in Handling of Statutory Audit, SEBI Audit, Internal Audit, etc.

Checking of SAST limits as per SEBI Regulations.

Monitoring & reporting of compliances relating to investors servicing to statutory authorities.

Approving various marketing materials

Providing assistance to the MD and Compliance.

Coordinating with the departments and compiling the documents and reports.

Sending compliance mails to SEBI/AMFI (Filing of compliances reports in accordance with SEBI and AMFI applicable to Mutual Funds.)

Preparing the disclosures, holdings, declarations for the Directors of AMC, Trustees and employees (access and non-access) and Fund Management Team as per SEBI / AMFI regulations on quarterly, half yearly and annual basis.

Maintaining the records of the letters, files and all type of disclosures, holdings, declarations,

documents like reports/notes, SEBI - AMFI documents filing, policies, manuals etc.

Screening the mails and taking the appropriate action instructed by Compliance officer and forwarding the mail to the concerned department.

Drafting & Clearances of all the Advertisements, Notices and Notice cum addendum published.

Drafting of Notice and Notice cum Addendum related to Compliance.

Scrutinizing and receiving the templates given by the employees.

Compiling Key personnel details along with its Preclearance form if any securities traded for audit

purpose.

Reviewing & updating internal policies/ manuals at regular intervals.

Coordinating for various Audits in the organization.

Academics:

Post Graduation with 10 plus years of relevant work experience in Compliance Role & Qualified Company Secretary.

Knowledge & Essential Skills:

Quick thinking and problem-solving skills

Able to work independently and as a team player.

Excellent communication skills and active listening skills

Scrutiny of Documents, Time Management skills, Excellent Presentation Skills

Should have a thorough understanding of compliance related requirements and a clear and fair

idea about the legal implications as well as Industry updates.

Thorough understanding of regulatory framework and Taxation Laws

Positive and enthusiastic attitude

Leadership Qualities