A popular Broking house with Corporate Office in Delhi , is looking for Compliance Profile for its Mutual Fund Business

Roles and Responsibilities:

 ·      Responsible for preparation Reports as per the SEBI Mutual Fund Regulations, 1996 and compliance requirements of MF Distributor/ Advisor.

·      Due Diligence / Verification/ Preparation of compliance of policies, Compliance Manual.

·      Pre and Post Committee Meeting Functions preparation of agenda papers, reports, minutes etc.

·      Reviewing of Advertising Materials / Fact Sheets as per compliance.

·      Preparation & Updation of various MIS with regards to business analytics.

·      Maintenance of Statutory Records and MIS.

·      Setting up processes and calendar for internal compliance audit across all teams

·      Developing policies to support compliance and track non-compliance

·      Undertaking and conducting periodic internal compliance audit

·      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 updation 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

·      Ensuring all manufacturer / vendor agreements are in line with applicable compliance requirements at all times.

·      Assisting/Co-ordinating with accounts team, CA team for all statutory compliance's such as AGM, Annual Report, etc.

·      Any other compliance matters as assigned from time to time

Salary - 3 LPA TO 4.5 LPA

Job Location : Daryaganj , Delhi