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11 Oct 2022


Compliance Executive


3-4 Years

Compliance, compliance & legal, SEBI, Post AGM Compliances, NISM

Job Description

Position: Compliance Executive
Experience: 2 to 4 years
Location: Mumbai

  • 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
  • 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

11 October 2022


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