Manager - Compliance

Role & Responsibilities:

1. Regulatory Compliance of Securities Act, Mutual Fund Regulations and other regulatory bodies
2. Reporting to the Boards with quarterly and half yearly reports in accordance with SEBI (Mutual Funds) Regulations, 1996 and such other reports as are prescribed by the Regulator from time to time
3. Monitoring SEBI restrictions on the Schemes of the Mutual Fund
4. Monitoring of Schemes on the Limitations out of prospectuses
5. Monitoring Contractual limitations on Funds managed
6. Preparing and Vetting of all Offer Documents to review that they are in compliance with the SEBI Regulations including periodic updating of the Offer documents.
7. Pre-clearance of all marketing materials and filing the same with the Regulator
8. Providing pre-clearance to personal trades in compliance with the Insider Trading Policy
9. Monitoring compliance with Insider Trading Regulations
10. Monitoring compliance with the Anti-Money laundering Policy
11. Working with the Company Secretary on certain Secretarial matters.
12. Assisting the translation of Dai-ichi and Union Bank Group standards (if relevant), international best practices and local market regulation in a coherent, workable way to the different functions and processes of the AMC
13. Monitoring the compliance with the SEBI (Mutual Funds) Regulations, 1996
14. Co-ordinating the Internal Audit Function
15. Working on legal matters as may be assigned including vetting of Distribution Agreements, Seeking legal Opinions, etc.
16. Assisting the Chief Compliance Officer in such other matters that may be incidental to the Compliance, Legal and Secretarial functions, as may arise from time to time.