Job Description
Job description: • Responsible for preparation Reports as per the SEBI Mutual Fund Regulations, 1++6 and compliance requirement of MF Distributor/ Advisor. • Due Diligence / Verification/ Preparation of compliance policies, Compliance Manual. • Pre and Post Committee Meeting Functions preparation of agenda papers, reports, minutes etc. • Reviewing of Advertising Materials / Fact Sheets as per the compliance. • Setting up processes and calendar for internal compliance audit across all teams • Developing policies to support compliance and track non-compliance • Writing and presenting reports to management outlining recommendations for improvements • Co-ordinating and handling (both internal & external) compliance audit queries • Setting up processes and trackers as per SEBI and AMFI guidelines for meeting relevant compliance requirements • Ensure 100% compliance to Audits, Controls and Processes as per SEBI MF Distributor and AMFI regulations • Submission of periodic reports to SEBI / AMFI / RBI Management in accordance with mutual fund regulations and guidelines • Tracking and suitable action on SEBI portal and Scores portal requirements. • Tracking timely renewal of all applicable SEBI and AMFI licences • Checking, tracking & maintaining compliance documentation for all clients • Maintaining appropriate qualification and certification records, documentation and information relating to organisation and team compliance • Ensuring timely collection and maintenance of quarterly/annual compliance requirements and disclosures from all teams and for the company • Compliance data management and website updating as per the compliance requirements • Dealing with compliance related queries from team, clients or prospects in-person, over the phone or via email • Monitoring adherence to policies and reporting on compliance activities • Consulting with team members to identify root causes of non-compliance events • Working with teams to remediate incidents of grievance / complaint / non - compliance as applicable • Maintaining regulatory awareness through ongoing compliance training and induction • Developing and delivering training to update employees on regulatory changes and raise awareness of regulatory requirements and their compliance responsibilities • Reading of regulatory bulletins, trade journals and news publications and review regulatory websites in order to stay current on regulatory changes and trends • Keeping oneself updated on changes in any Markets / Compliance / Regulatory processes / norms • To track completion of action points arising out of audits & following up for action on them • Establishing a compliance calendar that identifies all important dates for regulatory and reporting matters, to ensure that important deadlines are met • Assisting/Co-ordinating with accounts team, CA team for all statutory compliance's such as AGM, Annual Report, etc. Preferred Qualification: • MBA Finance / C.S. / CA Preferred Experience: • 3+ years Key Skills: • Understanding of the law • Analytical thinking and ability • Preparation of compliance policies • Undertaking and conducting periodic internal compliance audit • Writing and presenting reports to management • Submission of periodic reports to SEBI / AMFI / RBI Management Functional Area: • Compliance Job Location: • Delhi
💡 Quick Summary
Seeking a career-building opportunity? The Compliance MIS Executive|Manager position is now open for candidates interested in the MIS Executive sector. This role in Delhi offers a professional environment and growth potential.
Requirement Snapshot: Candidates should possess basic communication skills, a proactive attitude, and the ability to work in a team. Experience in MIS Executive is a plus.
