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