Team Member

• To review marketing initiatives of the Company and provide necessary support in establishing appropriate compliance controls within the organization.

Assist the Compliance Team in reviewing and approving marketing materials viz Print material, Videos, Online posts etc submitted by various departments.

Assist the Compliance Team in reviewing website and in digital communications.

Monitoring compliance with personal dealing policy of the company. Development and maintenance of Employee Dealing Software.

Preparation and review of various regulatory reports / submissions, internal processes / policies and other documents and ensuring compliance with internal and external regulatory framework.

Assist the Compliance Team in designing and maintain various systems including Compliance Calendar, Applications, Internal Website, AMC Website and other systems.

Review compliance with investment restrictions through Bloomberg and other Offline mode in terms of applicable regulations.

Monitoring and ensuring compliance with various laws and regulations applicable to Mutual Fund / AIF operations.

To Update compliance policy(ies) and manuals and ensure relevant compliances

Addressing, reviewing & resolving of Investor complaints.

Drafting / Vetting / updating Scheme Information Document, Statement of Additional Information, notices, addendums and other statutory documents

Should have the ability to work independently in order take the assigned task to a logical conclusion

Other responsibilities that may be assigned.

EDUCATIONAL QUALIFICATION & EXPERIENCE

C.A. or C.S. or L.L.B.

Experience: 6 to 10 years of experience in the Mutual Fund industry in the compliance.

PERSONAL ATTRIBUTES

• Good command over written and spoken English
• Good drafting ability and should possess good regulatory knowledge
• Should have an eye for detail.
• Team player
• Ability to work within stringent timelines
• Good communication and interpersonal skills