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Compliance Officer

6 - 10 yrs
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10,00,000 - 20,00,000 PA. Openings: 1 Posted 30+ days ago Job Applicants: 166 Job Views: 468

Job Description

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    Responsible for overall Compliance, Legal and Corporate Secretarial functions of AMC and Trustee Company of the Mutual Fund and AIF.
    Responsible for compliance under SEBI Regulations, Corporate Laws, etc. for Mutual Fund
    Supervising various Compliances as per SEBI Regulations on day-to-day basis, internal compliance systems, etc.
    Drafting of SID/SAI, Compliance Manual, etc.
    Interacting with the statutory authorities for approvals & clarifications
    Arrangements for Board Meetings, Committee meetings.
    Compliances with PMLA guidelines, etc.
    Drafting and Vetting of various distributor, office agreements, redressal of investor grievances, etc.
    Drafting minutes of AMC and Trustee Company
    Reporting of compliances to SEBI, ROC, RBI, etc.
    Generation of MIS and reporting to top level management
    Handling of Statutory Audit, SEBI Audit, Internal Audit, etc.
    Checking of Compliance limits as per SEBI Regulations
    Liasoning with the auditors on compliance issues
    Providing compliance updates to various departments
    Monitoring & reporting of compliances relating to investors servicing to statutory authorities
    Approving advertisements for marketing dept.
    Ensure that the guidelines are adhered to for introduction of new schemes, change in load structure based on recommendations from marketing and sales.
    SEBI guidelines adherence for Offer documents both external (SEBI, Custodians) and internal (Sales, Fund Managers, Operations )
    Ensure that all employees adhere to the SEBI guidelines.

Salary: INR 10,00,000 - 20,00,000 PA.

Industry: Other

Functional Area: Other


Employment Type: Full Time, Permanent



PG:LLM - Law, CA, CS

Company Profile:


Mirae Global Asset Management Ltd
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