Compliance Manager - AMC

Job Description

Compliance Manager - AMC Monitoring compliance of the SEBI Regulations & International Financial Services Centers Authority (IFSCA) regulations and timely reporting by AMC and exceptions thereto, to SEBI, to IFSCA, Board of AMC and Trustees. Timely submission of periodical reports to Regulators, AMFI, Board of Trustees and AMC. Addressing and timely resolving the Investor Grievances. Vetting and approving various advertisements, factsheets, posters etc., other communications to investors. Maintenance of Compliance Manual, Updating Management on changes in regulatory environment. Approval of personal trades by employees, providing guidance on employee dealing policy to the employees. Checking & Filing Draft Offer Documents, additional features/proposals with IFSCA for approval, coordinating between IFSCA . (ref:iimjobs.com) Show more Show less