Executive - Compliance

Role & responsibilities

• Setting up processes and calendars for internal compliance audit/review across all teams

• Developing policies to support compliance and track non-compliance

• Undertaking and conducting a periodic internal compliance audit

• Writing and presenting reports to management outlining recommendations for improvements

• Coordinating and handling (both internal & external) compliance audit queries

• Setting up processes and trackers as per SEBI and AMFI guidelines for meeting relevant compliance requirements

• Ensure 100% compliance with Audits, Controls, and Processes as per SEBI RIA and AMFI regulations

• Submission of periodic reports to SEBI/AMFI/RBI/Management in accordance with mutual fund regulations and guidelines

• Tracking and suitable action on SEBI portal and Scores portal requirements.

• Tracking timely renewal of all applicable SEBI and AMFi licenses

• Checking, tracking & maintaining compliance documentation for all clients

• Maintaining appropriate qualification and certification records, documentation, and information relating to organization and team compliance

• Ensuring timely collection and maintenance of quarterly/annual compliance requirements and disclosures from all teams and for the company

• Compliance data management and website updation as per the compliance requirements

• Dealing with compliance-related queries from teams, clients, or prospects in person, over the phone, or via email

• Monitoring adherence to policies and reporting on compliance activities

• Consulting with team members to identify root causes of non-compliance events

• Working with teams to remediate incidents of grievance/complaint / non-compliance as applicable

• Maintaining regulatory awareness through ongoing compliance training and induction

• Developing and delivering training to the team on regulatory changes and raising awareness of their compliance responsibilities

• Reading regulatory bulletins, and news publications and reviewing regulatory websites to stay current on regulatory changes and trends

• Keeping oneself updated on changes in any Markets / Compliance / Regulatory processes/norms

• To track the completion of action points arising out of audits & following up for action on them

• Establishing a compliance calendar that identifies all important dates for regulatory and reporting matters, to ensure that important deadlines are met

• Ensuring all manufacturer/vendor agreements are in line with applicable compliance requirements at all times.

• Assisting/Coordinating with accounts team, and CA team for all statutory compliances such as AGM, Annual Report, etc.

If you are interested kindly email your updated resume to hr@planahead.in