Compliance

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Company  :-  One of the leading Bank

Position  :- Compliance

Grade :–  Deputy Manager/Manager/Senior Manager (depending on experience & qualification)

Location:- Head Office-Worli

Principal Accountabilities:

Regulatory compliances / reporting for MFs, PMLA, Insider Trading / Personal Securities Transactions, support in compliance related matters under MF Regulations. regulatory change management, process improvements & automation.

Role and Responsibilities:

• Independently manage reporting requirements to SEBI, AMFI, AMC / Trustee Board. Also cater to the reporting needs of the management as may arise from time to time.
• Manage / assist in various compliance matters viz. offer documents / KIM, scheme launch (end to end compliance), review of HY financials and portfolios, Trustee report to unit holders, Manuals & policies implementation & updation, issue of notices & addendums pursuant to changes in scheme features, appointment of directors / key persons, merger / winding up of schemes / changes in fundamental attributes, monitoring of voice recording, monitoring alerts from Scores Portal for MF, preparing comprehensive checklist for various regulatory activities as and when required.
• Vetting of marketing materials including digital initiatives introduced on the Website, Online Portal, Mobile App, etc of the Company
• Implementation of regulations around Personal Trading, Insider Trading, Code of Conduct, policy framework vis-à-vis regulatory requirements, keeping track of regulatory developments, imparting training to employees, review of control framework, maintenance of records etc.
• Providing guidance to internal / external stakeholders on various regulatory & compliance matters.
• Suggesting measures for process improvements, automation, review & strengthening of controls framework, act as a change agent.
• Other compliance matters as may be delegated from time to time.
• AML Framework i.e. policies around PMLA, KYC, STR, processes around client due diligence, analysis of AML and STR alerts, training of employees on AML matters, tracking regulatory / industry developments around AML matters & implementing the same, review of AML & STR Alerts etc.
• Regulatory change management i.e. keeping track of regulatory changes, analysis of circulars / notifications, impact analysis & tracking of implementations, tracking orders issued by SEBI, SAT & Courts, informal guidance, & preparing impact / action points for the Company.
• Liaising with the auditors- internal, concurrent and external auditors as well as handling of SEBI Inspection Audit relating to Compliance Dept.
• Overseeing the secretarial matters pertaining to the Company as well as the Trustee Company.
• Handling legal matters as and when required

Knowledge, Skills, Competencies

Qualifications: Company Secretary, LLB (will be an added advantage).

Knowledge: Good understanding & Knowledge of MF Regulations / Circulars and other applicable securities laws. 

Competencies: Execution skills, analytical bend of mind, communication skills, ability to decode the regulations, solution oriented, Good drafting skills.

Attributes: Commitment, passion for work & eagerness to learn, teamwork, ability to stretch in crunch situations & sustain pressures, manage relationship with all the stakeholders.

Preferred Industry Experience – Around 5- 10 years’ relevant experience in the Mutual Fund / AMC Industry.

For Management 2000 Placements & Recruitments Pvt., Ltd.,
 
Kalpana Jha
Branch Business Consulting Partner 
 
kalpana@careerzodiac.com

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