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
• 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 New 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.
