11 Oct 2022
orDn
Compliance Executive
Mumbai
3-4 Years
Compliance, compliance & legal, SEBI, Post AGM Compliances, NISM
Job Description
Position: Compliance Executive
Experience: 2 to 4 years
Location: Mumbai
Responsibilities:
Experience: 2 to 4 years
Location: Mumbai
Responsibilities:
- 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 RIA 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 or 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
Skills:
- Excellent spoken and written communication skills
- Sound moral principles (integrity and professional ethics)
- Able to perform well under pressure and with deadlines
- Good critical thinking skills
- Great eye for detail
- Experience in financial services will be preferred
- Experience in compliance, legal services will be an advantage
- NISM Series VII - Securities Operations and Risk Management Certification will be an advantage
- NISM Series III A - Securities Intermediaries Compliance (Non Fund) Certification will be an advantage