Compliance Manager - AMC Waytogo Consultants

3.0 - 7.0 years

0 Lacs

ahmedabad, gujarat

On-site

As a Compliance Manager, your primary responsibility will be monitoring the compliance of SEBI Regulations and International Financial Services Centers Authority (IFSCA) regulations. You will be expected to ensure timely reporting by the Asset Management Company (AMC) and address any exceptions in compliance to SEBI, IFSCA, the Board of AMC, and the Trustees. Additionally, you will be required to submit periodical reports to regulators, the Association of Mutual Funds in India (AMFI), the Board of Trustees, and the AMC in a timely manner. It will also be part of your role to handle and resolve investor grievances promptly. In this position, you will be vetting and approving various communications to investors such as advertisements, factsheets, posters, etc. Furthermore, you will be responsible for maintaining the Compliance Manual and updating the management on any changes in the regulatory environment. As a Compliance Manager, you will play a crucial role in approving personal trades by employees and providing guidance on the employee dealing policy. You will also be involved in checking and filing Draft Offer Documents, additional features, and proposals with IFSCA for approval, while effectively coordinating between IFSCA and the AMC. Overall, your contributions as a Compliance Manager will be essential in ensuring the AMC's adherence to regulatory requirements, promoting transparency, and maintaining trust with investors and regulatory bodies.,

Posted 6 days ago

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PMS Compliance Manager Acme Services

2.0 - 6.0 years

3 - 6 Lacs

Ratnagiri, Maharashtra, India

On-site

Ensure compliance with SEBI PMS Regulations Develop and maintain Compliance Manual, Checklist, Tracking, and Reporting Assist in AML/PMLA & Insider Trading Compliance Assist in concurrent, internal, and statutory audits related to PMS.2-3 years of experience in PMS/AIF/MF compliances. Knowledge of SEBI PMS regulations, Companies Act 2013, AML/PMLA, and Insider Trading regulations.

Posted 1 month ago

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Senior Associate Zerodha Fund House

2.0 - 6.0 years

0 Lacs

karnataka

On-site

At Zerodha fund house, you will play a key role in enabling the next generation of Indian investors by reimagining mutual funds to create simple and relevant investment solutions. Together with the team behind Zerodha & smallcase, we uphold the values of simplicity, cost-effectiveness, and transparency in the mutual funds sector. Your responsibilities will include: - Assisting in finalizing reports to be filed with SEBI, AMFI, RBI, and the Board of AMC and Trustees. - Updating regulatory documents such as SID, KIM, and SAI. - Drafting notices, addendums, and board communications related to compliance matters. - Pre-clearance of marketing materials and filing the same with the regulator. - Finalizing STR/NTR and other reports as required under PMLA. - Updating Compliance Manual and other mutual fund level policies. You will also be involved in: - Proactively tracking and analyzing new circulars and directives issued by SEBI and AMFI. - Preparing reports on the impact of regulatory changes and implementing necessary adjustments for compliance. - Conducting reviews to ensure compliance with dealing room practices, insider trading regulations, and ethical standards. - Monitoring and analyzing transactions to identify and report suspicious activities or regulatory breaches. - Liaising with exchanges on matters related to listed ETFs and other compliance requirements. - Coordinating with Internal Auditors, Statutory Auditors, and SEBI Auditors to assist in handling SEBI inspections. To be successful in this role, you should have: - Total experience of 3-5 years with a minimum of 2 years in the compliance department of an Asset Management Company/Mutual Fund. - Graduation in any discipline or CS/CA/ICWA/L.L.B/MBA. Join us at Zerodha fund house and be part of a team dedicated to revolutionizing the mutual funds landscape in India.,

Posted 1 month ago

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