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Waytogo Consultants
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Compliance- MF / PMS / AIF

Compliance- MF / PMS / AIF

Waytogo Consultants

8 - 13 years

15 - 27 Lacs

Mumbai Navi Mumbai Mumbai (All Areas)

Posted:2 months ago| Platform:

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Skills Required

Compliance Mutual Funds PMS SEBI Aif

Work Mode

Work from Office

Job Type

Full Time

Job Description

Role & responsibilities • Responsible for overall Compliance of AMC and Trustee Company. • Responsible for compliance under SEBI Regulations, Circulars issued there under & AMFI Guidelines (MF and PMS), • Responsible for reporting under SEBI (Substantial Acquisition of Shares & Takeover) Regulations & SEBI (Insider Trading) Regulations. • Supervising various Compliances as per SEBI Regulations on day-to-day basis, internal compliance systems, etc. • Drafting of Scheme Information Documents & Statement of Additional Information. • Review of Key Information Memorandum. • Review of Compliance Manual, Employees Securities Dealing Policy, etc. • Interacting with the statutory authorities for approvals & clarifications • Reporting of compliances to SEBI, AMFI, RBI, etc. • 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 & other marketing material. • Issue of Notices & Addendums. • Ensure that the guidelines are adhered to for introduction of new schemes, change in load structure based on recommendations from marketing and sales. • Uploading of reports on SEBI Mutual Fund & PMS portals. • SEBI guidelines adherence for Scheme Information documents – both external (SEBI, Custodians) and internal (Sales, Fund Managers, Operations ) Ensure that all employees adhere to the SEBI guidelines.

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Compliance- MF / PMS / AIF