Compliance Officer - Mutual Fund

Position : Compliance Officer - Compliance, Secretarial & Legal

Role and Responsibilities:

Compliance:

• Accurate and timely reporting to SEBI / AMFI / RBI, etc.
• Ensure timely update of the scheme related documents including the SID / KIM / SAI of the schemes of Mutual Fund.
• Co-ordinate with internal / statutory auditors during their respective audits for compliance related matters.
• Keep abreast of the changes in the laws, guidelines, regulations, etc. applicable to Mutual Fund and assist in the process of implementing relevant changes in the existing process.
• Review of Marketing Materials and website disclosures.
• Implementation of various compliance policies and processes across function.

Secretarial:

• Handling board, committees and general meeting related work for Asset Management Company and Trustee Company.
• Various reporting to Board of Directors under Companies Act and Mutual Fund Regulations.
• Extensive co-ordination with internal stakeholders for board related matters.
• Drafting of Annual Report, Directors Reports etc. as per Companies Act 2013.
• Other statutory filing as per Companies Act, 2013.

Legal:

• Review / Vetting of agreements related to the business (Distribution agreement, brokers, Vendor agreement, On-line channel partner, various service level agreements).
• Independently negotiate the contracts and agreement with various stakeholders.

Candidate Profile:

We are looking for a CS with 8-12 years of relevant experience in Mutual Fund industry with:

• An excellent academic background;
• Good communication and drafting skills;
• Drive, passion and self motivation;
• In depth understanding of Mutual Funds;
• A right blend of patience & aggression;
• High degree of orientation of structure and processes.