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