Compliance mutual Funds - Pune, Maharashtra, India - Arin Consultancy

Arin Consultancy
Arin Consultancy
Verified Company
Pune, Maharashtra, India

1 week ago

Deepika Kaur

Posted by:

Deepika Kaur

beBee Recuiter
Description
Compliance Pune _Pune_ March 12, March 13, 2025 Mutual Fund


Job Overview:

-
Office Location (Area) Pune
-
Course Type Full Time
-
Required Certification CS with / without LLB
-
Min Required Experience (Years) 3
-
Max Required Experience (Years) 5


JOB PURPOSE
(Summarize in one statement why the job exists; and how it contributes to the overall objective of the company)
Responsible for ensuring compliance with the applicable rules, regulations including SEBI (Mutual Funds) Regulations,
Companies Act, 2013 and, assisting business teams in audits and inspection, policies and helping with scheme
documents, ad-hoc regulatory requirements and regulatory reports.


PRINCIPAL ACCOUNTABILITIES

  • SEBI (Mutual Funds) Regulations, 1996
  • Monitoring requirements
  • Coordination and follow up with employees for employee dealing guidelines and prohibition of insider trading
regulations

  • Coordinating with service provider(s) for obtaining data for personal securities transaction (RTA & designated
broker)

  • Tracking of day to day compliances and follow up with concerned teams for timely submission
  • Inspection and Audit
  • Coordination for with various functions for data collation and submission of same
  • Advertisement/ Website approvals
  • Reviewing advertisement, communication as per SEBI regulations.
  • Tracking various regulatory submission on AMC website, SEBI & AMFI.
  • Periodic reports and scheme related documents
  • Assist in collation and preparation in periodic reports for submission to Board and SEBI
  • Coordinating with concerned teams for collating information for SEBI/AMFI/RBI reports
  • Tracking adhoc data requirements sent by SEBI and AMFI
  • Assisting in collation of data required for filing of Scheme Information Document (SID), Key Information Memorandum (KIM) and Statement of Additional Information (SAI) and working on renewal of these documents Companies Act, 201
  • Cordinating with internal teams and assisting in preparing Board and Committee Meeting Agenda

CHALLENGES
(Challenges faced on an on-going basis in carrying out the job)

  • To ensure timely receipt of accurate data from internal teams and external service providers

INTERACTIONS
Internal Clients
Roles you need to interact with inside the organization to enable success in your day-to-day work

  • Needs to work closely with investment team, operations team, product and marketing team
External Clients
Roles you need to interact with outside the organization to enable success in your day-to-day work.
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