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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