Assistant Manager - SEBI Compliance
Key Responsibilities :
1. Regulatory Compliance
- Ensure compliance withSEBI (Mutual Funds) Regulations, 1996 and subsequent circulars.
- Monitor compliance with AMFI guidelines and other applicable laws.
- Keep management informed about regulatory changes and their impact.
2. Scheme Compliance Monitoring
- Monitor investment restrictions and scheme-specific limits.
- Review portfolio transactions to ensure adherence to regulatory and Scheme Information Document (SID) requirements.
3. Regulatory Reporting
- Submit periodic reports, certifications, and disclosures to SEBI, AMFI and trustees.
4. Trustee Coordination
- Present compliance reports to the Board of Trustees/Trustee Company.
- Assist trustees in carrying out their oversight responsibilities.
5. Policy & Governance Framework
- Develop and update compliance policies, SOPs, and internal controls.
- Implement compliance frameworks for new products and business initiatives.
6. Investor Protection
- Oversight investor grievance redressal mechanisms.
- Review advertisements, marketing communications, and investor communications.
7. Employee & Insider Trading Compliance
- Monitor employee trading activities.
- Administer personal dealing and insider trading controls.
8. Regulatory Inspections & Audits
- Facilitate internal, statutory, and concurrent audits.
- Ensure closure of audit observations and regulatory findings.
Pay: ₹800,000.00 - ₹1,800,000.00 per year
Work Location: In person
