AddressRole - Compliance Officer for a proposed AMC (Mutual Fund) entity of Unifi Capital.
Group Profile:
Unifi Capital is a 22-year-old investment management firm managing assets over INR 20,000 Cr on behalf of ~10,000 clients across PMS, AIF, and advisory platforms.
Position Summary - Unifi is seeking a skilled and experienced Compliance Officer to oversee and ensure the company's compliance with SEBI regulations and other regulatory requirements pertaining to the Mutual Fund business. The successful candidate will also be responsible for ensuring compliance with internal policies and regulations. The ideal candidate should be a mid-senior person who would confidently face the regulators during periodical inspections.
Description:
- 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.
- Manage / assist in various compliance matters viz. preparation / updation of offer documents / KIM, scheme launch (end to end compliance), listing of schemes, vetting of marketing materials, review of HY financials and portfolios, Trustee report to unit holders, approval of marketing materials, Manuals & policies implementation & updation, issue of notices & addendums pursuant to changes in scheme features, monitoring of voice recording, monitoring alerts from Scores Portal for MF / PMS, NISM certification preparing comprehensive checklist for various regulatory activities.
- Implementation of regulations around Personal Trading, Insider Trading, Code of Conduct, policy framework vis- vis regulatory requirements, keeping track of regulatory developments, imparting training to employees, review of control framework, maintenance of records etc.
- Providing guidance to internal / external stakeholders on various regulatory & compliance matters.
- Suggesting measures for process improvements, automation, review & strengthening of controls framework, act as a change agent.
- Distributors related compliances, Distributor due diligence etc.
- Regulatory change management i.e. keeping track of regulatory changes, analysis of circulars / notifications, impact analysis & tracking of implementations at IAMI, tracking orders issued by SEBI, SAT & Courts, informal guidance, & preparing impact / action points for IAMI.
- Managing regulatory inspections of MF / PMS especially w.r.t. AML, Insider Trading, Conflict of interest etc.
- Assist in investment limit monitoring.
- Other compliance matters
Knowledge, Skills, Competencies :
- Qualifications: C.A. / C.S / Law Graduate.
- Knowledge: Good understanding & knowledge of MF Regulations
- Competencies: Execution skills, analytical bend of mind, communication skills, ability to decode the regulations, solution oriented, good drafting skills,
- Minimum 7-9 years in capital / securities markets with 6-7 years AMC background / PMS / SEBI regulated entity.
