Sr Manager / AVP Compliance

Senior Manager – Compliance 

Department: Compliance 

Experience: 5-6 Years (Manager) / 8-10 Years (Senior Manager) Position A: Senior Manager – Compliance 

 Mandatory Skills  • Secretarial Compliance • Limit Monitoring (Bloomberg Knowledge Preferred) • Mutual Fund Regulatory Compliance • SEBI Regulations • Regulatory Reporting 

Position Summary • The incumbent will assist and support the Compliance Officer in ensuring adherence to regulatory requirements applicable to the Mutual Fund industry. 

Key Responsibilities

 • Vetting of SID/SAI of all new schemes

• Vetting of marketing material/advertisements • Preparation and submission of addendums/notices

• Reporting for all SEBI related queries and advisories

• Regulatory reporting to SEBI/other regulators/entities and Boards

• Review of legal agreements.

• Renewal of mandatory/regulatory licenses.

• Suspicious Transaction Reporting.

• Limit Monitoring (Bloomberg Knowledge Preferred).

• Coordinate with functions to ensure adherence to compliance guidelines.

• Assess implications of extant/future regulations.

 • Other regulatory activities as required Educational Qualification

 • Graduate from a recognized university. Law degree and ICSI certification would be an added advantage.

 Experience  • 8-10 years (Senior Manager) • Relevant experience in Mutual Fund Industry and regulatory compliance