Job : Senior Manager - Compliance (Mutual Funds)
Experience : 7- 10 yrs
Requirements :
- A post graduate degree holder (preferably CS / CA / LLB / LLM) with 8 to 10 years of relevant working experience in compliance within an asset management business, specifically in Mutual Funds.
- Good at building relationships; you will be dealing with both internal and external stakeholders of ranging seniority on a day-to-day basis.
Roles and Responsibilities :
Regulatory Compliance : Ensure adherence to SEBI, RBI, and other regulatory guidelines for mutual funds.Reporting and Filings : Manage quarterly, monthly, and yearly filings with regulatory bodies.Compliance Support : Provide support to management, monitor training, and update compliance policies.Regulatory Updates : Stay updated on regulatory developments and advise the business on compliance matters.Compliance Framework : Develop and implement compliance framework within the organization.Audit Support : Ensure smooth audit process by developing clear deliverables and activities.Documentation : Draft, vet, and negotiate agreements and fund-related documents.Process Improvement : Identify areas for improvement and communicate best practices.Skills :
Strong understanding of mutual fund regulationsExcellent communication skillsAbility to work independently and under pressureTeam management and leadership skillsIndustry Type - Financial Services
Keywords - SEBI, Regulatory Compliance, MFRegulations, Regulatory Guidelines for MF, Compliance Framework
ref : iimjobs.com)