Assistant Vice President - Compliance - Mutual Fund/AMC

CM / AVP - Compliance | Mutual Fund / AMC

Base: Mumbai

Exp: 10 - 12 yrs

CTC - up to 30 lacs

We are looking for an experienced Compliance professional for a leading organization in the Asset Management / Mutual Fund industry.

The role will be responsible for ensuring adherence to SEBI Mutual Fund Regulations, internal policies, regulatory reporting requirements and governance frameworks. The incumbent will also play an important role in scheme-related documentation, regulatory filings and coordination with key stakeholders.

Key Responsibilities:

- Monitor compliance with SEBI Mutual Fund Regulations and identify/report regulatory exceptions.

- Manage regulatory and periodic reporting to SEBI, AMFI, Trustees and the AMC Board.

- Draft, review and update Scheme Information Documents (SID) and Key Information Memoranda (KIM).

- Manage regulatory requirements relating to scheme launches and changes including TER revisions, Riskometer updates, benchmark changes, fundamental attribute changes and investment policy changes.

- Review statutory disclosures relating to asset allocation, derivative exposure, fee ceilings, exit loads and other scheme-related requirements.

- Coordinate with regulatory authorities and internal stakeholders for timely clearance of new schemes.

- Maintain and periodically update the Compliance Manual.

- Monitor employee dealing/personal trade disclosures and related compliance requirements.

- Ensure timely resolution of investor grievances from a compliance perspective.

- Work closely with the CCO and senior management on regulatory risk and governance requirements.

- Follow up on compliance audit observations and regulatory inspection findings and ensure appropriate corrective actions.

Candidate Profile:

- Qualified Company Secretary (ICSI member) - Mandatory

- 10 - 12 years of post-qualification experience

- Candidates currently working with AMCs / Mutual Funds will be preferred.

- Candidates working with Compliance / Consulting / Advisory firms may also be considered, provided they have directly handled AMC / Mutual Fund clients.

- Strong understanding of SEBI Mutual Fund Regulations.

- Experience in regulatory reporting, documentation and internal controls.

- Exposure to SID/KIM, scheme-related compliance and regulatory filings will be highly preferred.