AVP Compliances with Asset Management in Mumbai

Liontree Hr Consultants

7 - 12 years

25 - 27 Lacs

ratnagiri

Posted:5 days ago| Platform:

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Skills Required

compliance regulatory compliance

Work Mode

Work from Office

Job Type

Full Time

Job Description

PURPOSE OF THE ROLE

The incumbent will be responsible for ensuring all compliance policies and procedures of the organization comply with regulatory and ethical standards. Person should optimise existing processes and procedures and manage audit requirements

KEY RESPONSIBILITIES AND ACCOUNTABILITIES OF THE ROLE

Regulatory Compliance
MIS Reporting to Board of Trustees & AMC
Regulatory Reporting on behalf of the AMC and Trustees
Resolving Compliance related issues with department/ Official concerned
Registration / Renewal of licenses with Regulatory Authority
Handling Internal and Statutory audit requirements pertaining to the function and supporting the Compliance officer in handling SEBI Inspection
Streamlining processes and documents as per compliance requirements
Legal work covering drafting/perusing of various Agreements, documents, Investor Complaints and Arbitrations, etc.
Organizational Level training on Compliance requirements
Adhering to various Regulatory requirements
Reviewing Marketing materials
Monitoring of PMLA requirements
Strong support to compliance head to drive the function effectively

Minimum Experience of 10-12 years of which 6 7 years in Mutual Fund compliance

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