Compliance Officer - BFSI - LLB/CS

Role:- Compliance Officer
Location:- Mumbai HO
JOB ROLE & RESPONSIBILITIES:
The Compliance Officer serves as the Single Point of Contact for all compliance activities within the SEBI (Mutual Funds) Regulation with respect to MF Lite business (passive scheme). This role ensures strict adherence to regulatory guidelines, coordinates with directors and key stakeholders, and provides clear, accurate communication after analysing relevant regulations to align company strategies and plans with compliance requirements.
- Independently manage reporting requirements to SEBI, AMFI, AMC / Trustee Board. Also cater to the reporting needs of the management as may arise from time to time for passive schemes.
- Independently coordinate with AMC and Trustee directors for Board and Committee meetings, including: Preparation of meeting agendas and supporting documents, Accurate recording and preparation of minutes, Timely follow-up on action items and resolutions, and other applicable provisions of companies Act, 2013.
- Framework i.e. policies around PMLA, KYC, processes around client due diligence, analysis of alerts, tracking regulatory / industry developments, minutes, paperwork.
- Implementation of Policies around conflict of interest, Prevention of insider trading, Compliance manual etc.
- Independently manage reporting on a regular basis to the regulatory body and progress of implementation, and assisting these components in establishing methods to improve efficiency and quality of services, and to reduce the vulnerability to non-compliance and abuse.

- Review of Marketing material
- Preparation of Scheme documents.
- Coordinating internal compliance review and monitoring activities, including periodic reviews of functions
- Interpretation and distribution of regulatory directives received from time to time and Provide interpretation of regulations to the functions of the AMC.
- Preparation and submission of regulatory reporting to Boards and regulators.
- Vetting of documents in terms of regulatory compliance and other factors.
- Support for implementation and monitoring of investment compliance.
- Preparation and submission of Compliance test reports to the regulators.
- Any other compliance activities as per the SEBI regulations and auditors may be delegated from time to time.
- Ensure adherence of PIT guidelines by organization.
- Audit & Inspection related Co-ordinations.
KNOWLEDGE/SKILLS/EXPERIENCE
Key Skill:
- Sound problem solving and decision-making skills, solution oriented.
- Excellent analytical and reporting skills and ability to decode the regulations.
- Excellent organizational skills and ability to work under pressure and tight deadlines.
- Good Execution skills, analytical bend of mind.
- Excellent communication skills.
- Excellent drafting skills.
- Proficiency in MS Excel.
Qualification and Experience:
- 8 years + relevant work experience in Mutual Fund
- Industry specifically with passive schemes
- Qualification: C.S./ Law Graduate.