Manager - Mutual Fund Compliance

Mutual Fund Compliance

Job Description:

Responsibilities:

- Oversee and support compliance activities for the mutual fund business.

- Ensure compliance with internal policies.

- Stay informed about regulatory changes and provide guidance to internal teams.

- Coordinate and compile data and information for SEBI inspections, statutory audits of MF & AMC, and internal audits.

- Prepare and evaluate compliance reports for submission to the Board and SEBI.

- Prepare regulatory reports for submission to SEBI, AMFI, and RBI.

- Coordinate and review periodic data submissions required by SEBI, AMFI, and RBI.

- Work on scheme-related documents, including Scheme Information Documents, Key Information Memorandums, and Statements of Additional Information.

- Prepare and coordinate the release of statutory notices and addenda.

- Coordinate and compile data and information for SEBI inspections, statutory audits of MF & AMC, and internal audits.

- Review advertising and marketing materials to ensure adherence to Advertisement Guidelines.

- Draft, review, and manage the execution of legal agreements.

- Ensure compliance with Employee Dealing Guidelines, Code of Conduct, and review transactions.