Compliance Specialist

Postion: Compliance Officer

Location: Bengalore

Experience – 2- 5 Year

Budget- 7 LPA

Preparation and submission of Quarterly Reports and CTR

Preparation of Half Yearly Trustee Reports

Drafting and filing of Notice-cum-Addendum and corresponding SEBI submissions

Weekly and daily transaction data uploads as per regulatory requirements

Compliance checks for all SID/KIM documents and related SEBI filings

Preparation and submission of SID and KIM documents to SEBI

Half-yearly updation of SID and KIM documents

Annual updation of the Statement of Additional Information (SAI)

Implementation of SEBI and AMFI circulars and maintenance of related data/MIS

Daily recovery orders and rolling AUM checks

Management and updates of Compliance Tools as per SEBI regulations

Annual broker review and related data maintenance

Support for Internal, Statutory, and External audits, including data collation and submissions

Coordination for annual policy reviews with respective teams and presentation to the Board

Preparation of RCSA reports and monthly submissions to the CEO

Maintenance of SEBI and AMFI communication data

Data compilation and coordination for Board meetings

Management of event-based compliances and related activities

Implementation of SEBI and AMFI circulars and its tracking on tool.