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Senior Associate - Compliance

3.0 - 5.0 years

2 - 6 Lacs

Bengaluru

Posted:1 day ago| Platform: Naukri logo

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Skills Required

risk management statutory compliance due diligence compliance management regulatory auditing sebi internal audit cs statutory audit legal compliance drafting kyc compliance mis regulations rbi surveillance liaison ca finance inspection

Work Mode

Work from Office

Job Type

Full Time

Job Description

General Compliance Responsibilities Assist in the finalization of reports to be filed with SEBI, AMFI, RBI and the Board of AMC and Trustees. Assist in update of regulatory documents such as SID, KIM, and SAI. Draft notices, addendums, and board communication related to compliance matters. Pre-clearance of all marketing materials and filing the same with the regulator. Assist in finalization of STR/NTR and other related reports as required under PMLA. Assist in updation of Compliance Manual and other mutual fund level policies. Research and Regulatory Updates Proactively track and analyze new circulars and directives issued by SEBI and AMFI. Prepare reports on the impact of regulatory changes. Assist in implementing changes required by new guidelines, ensuring seamless compliance. Provide support for research for new initiatives. Compliance Surveillance and Monitoring Conduct reviews to ensure compliance with dealing room practices, insider trading regulations and ethical standards. Analyze transaction/s to identify and report suspicious activities or regulatory breaches. Review of call recordings, emails, and communications. Review of personal transaction/s of employees. Monitor compliance limit breaches/ alerts. Proactively monitoring to detect and prevent potential breaches of compliance norms. Reporting and Liaison Prepare various compliance related reports and MIS for the team. Liaise with exchange/s on matters related to listed ETFs and other compliance requirements. Coordinate with Internal Auditors, Statutory Auditors, and SEBI Auditors and Assist in handling SEBI inspection. REQUIREMENT Total experience of 3-5 years with minimum 2 years of experience of working in the compliance department of Asset Management Company/ Mutual Fund. Graduate in any discipline or CS/CA/ ICWA/ L.L.B/MBA

More Jobs at Zerodha Fund House

Senior Associate - Compliance

Bengaluru

3.0 - 5.0 yrs
|

INR 2 - 6 Lacs

Zerodha Fund House
Not specified
No locations

1 Jobs

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