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06 Feb 2023


Manager - Compliance, 4 to 8 years - Mumbai


6-8 Years

SEBI, mutual funds, Companies Act, Company Secretary, Compliance, Secretarial compliance, Secretarial Due Diligence

Job Description

Position: Manager - Compliance 
 Qualification: B.Com, ACS
Experience: 4 to 8 years
Location: Mumbai

Roles and Responsibilities :
  • Responsible for reviewing, monitoring, and filing of Advertising Materials, PPTs, Articles, Fact Sheets 
  • Responsible for reviewing, interpreting, monitoring and implementation of circulars, notifications issued by SEBI, AMFI, PMLA 
  • Responsible for preparation of various Reports to file with SEBI, AMFI / Board of Directors of Asset Management Company, Trustee Company from time to time as per SEBI Mutual Fund Regulations, 1996. 
  • Responsible for due diligence, verification of Compliance Policies and Compliance Manual 
  • Responsible for Pre and Post Committee Meeting Functions – Preparation of Agenda papers, Reports, Minutes etc. 
  • Responsible for Preparation & Updation of Scheme Information Document, Key Information Memorandum, Statement of Additional Information 
  • Responsible for verification of compliances of various acts applicable to the AMC, Trustee and Mutual Fund 
  • Co-ordination with the Internal and Statutory Auditors 
  • Co-ordination within the Internal Departments 
  • Maintenance of Statutory Records and MIS 

06 February 2023


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