Compliance Officer- Mutual Fund Distributor

A popular Broking house with Corporate Office in Delhi, is looking for Compliance Profile for its Mutual Fund Business

Roles And Responsibilities

Responsible for preparation Reports as per the SEBI Mutual Fund Regulations, 1996 and compliance requirements of MF Distributor/ Advisor.

Due Diligence / Verification/ Preparation of compliance of policies, Compliance Manual.

Pre and Post Committee Meeting Functions preparation of agenda papers, reports, minutes etc.

Reviewing of Advertising Materials / Fact Sheets as per compliance.

Preparation & Updation of various MIS with regards to business analytics.

Maintenance of Statutory Records and MIS.

Setting up processes and calendar for internal compliance audit across all teams

Developing policies to support compliance and track non-compliance

Undertaking and conducting periodic internal compliance audit

Writing and presenting reports to management outlining recommendations for improvements

Co-ordinating 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 to Audits, Controls and Processes as per SEBI MF Distributor 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 licences

Checking, tracking & maintaining compliance documentation for all clients

Maintaining appropriate qualification and certification records, documentation and information relating to organisation 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 team, 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 update employees on regulatory changes and raise awareness of regulatory requirements and their compliance responsibilities

Reading of regulatory bulletins, trade journals and news publications and review regulatory websites in order to stay current on regulatory changes and trends

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

To track 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/Co-ordinating with accounts team, CA team for all statutory compliance's such as AGM, Annual Report, etc.

Any other compliance matters as assigned from time to time

Salary - 3 LPA TO 4.5 LPA

Job Location : Daryaganj, Delhi

Full time