Compliance Officer mutual Fund aif - Mumbai, Maharashtra, India - Arin Consultancy

Arin Consultancy

Verified Company

Mumbai, Maharashtra, India

1 week ago

Posted by:

Deepika Kaur

beBee Recuiter

Description

Compliance Mumbai _Mumbai Western Suburbs_ February 15, February 15, 2025 Mutual Fund

Job Overview:

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Office Location (Area) Mumbai
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Course Type Full Time
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Min Required Experience (Years) 2
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Max Required Experience (Years)

Responsible for overall Compliance, Legal and Corporate Secretarial functions of AMC and

Trustee Company of the Mutual Fund and AIF.

Responsible for compliance under SEBI Regulations, Corporate Laws, etc. for Mutual Fund
Supervising various Compliances as per SEBI Regulations on daytoday basis, internal

compliance systems, etc.

Drafting of SID/SAI, Compliance Manual, etc.
Interacting with the statutory authorities for approvals & clarifications
Arrangements for Board Meetings, Committee meetings.
Compliances with PMLA guidelines, etc.
Drafting and Vetting of various distributor, office agreements, redressal of investor grievances,

etc.

Drafting minutes of AMC and Trustee Company
Reporting of compliances to SEBI, ROC, RBI, etc.
Generation of MIS and reporting to top level management
Handling of Statutory Audit, SEBI Audit, Internal Audit, etc.
Checking of Compliance limits as per SEBI Regulations
Liasoning with the auditors on compliance issues
Providing compliance updates to various departments
Monitoring & reporting of compliances relating to investors' servicing to statutory authorities
Approving advertisements for marketing dept.
Ensure that the guidelines are adhered to for introduction of new schemes, change in load

structure based on recommendations from marketing and sales.