Compliance Officer - Mutual Fund (3-14 Yrs)

Job Title: Compliance Officer - Mutual Fund Compliance
Location: Mumbai (on-site: Andheri/Belapur)
Experience: 3+ years in Mutual Fund compliance
Job Summary:
We are currently looking for compliance professionals with a graduation degree from AMC, financial or NBFC industry with minimum 3 years of experience in Mutual Fund compliance.
Roles and Responsibilities:
- Responsible for compliance under SEBI Regulations, Corporate Laws, etc. for Mutual FundSupervising 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 & clarificationsArrangements 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 RegulationsLiasoning with the auditors on compliance issuesProviding compliance updates to various departments Monitoring & reporting of compliances relating to investors' servicing to statutory authoritiesApproving 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.Qualification:
- Should have 3+ years of experience in Mutual Fund compliance.
- Strong problem-solving and decision-making abilities.
Note:
The interested candidate with relevant experience should be currently living in Mumbai.
If your profile matches, we will contact you for further steps.
Why should you apply?
Career growthRewards and recognitionAttractive perks and benefitsAbout Zyoin Pvt. Ltd.
Zyoin Group is a solutions provider that partners with clients to deliver personalized solutions that meet their requirements. We achieve this by combining cutting-edge technology with industry expertise and best practices.