compliance Risk officer
-
Corphive
-
AMC
-
Full time
-
Ahmedabad
Posted by Pooja Tiwari
23 Oct 2024, 12:30 PM
- · Timely submission of periodical reports to Regulators, AMFI, Board of Trustees and AMC.
- · Addressing and timely resolving the Investor Grievances.
- · Vetting and approving various advertisements, factsheets, posters etc., other communications to investors, certain Front Office transactions viz, ISTs, FDs.
- · Maintenance of Compliance Manual, Updating Management on changes in regulatory environment.
- · Approval of personal trades by employees, providing guidance on employee dealing policy to the employees.
- · Checking & Filing Draft Offer Documents, additional features/proposals with IFSCA for approval, coordinating between IFSCA and AMC Officials for expeditious clearance of the new schemes.
- · Follow up on commitments/obligations to IFSCA and other Regulatory bodies.
- · Follow-up on Compliance related audit/inspection observations and incidents for systemic corrections.
- · Ensure adherence to risk management guidelines and risk appetite framework for schemes;
- · Ensure daily management of risk and necessary reporting relating to Investment risk of all scheme(s) such as market Risk, liquidity Risk, credit risk etc. and other scheme specific risks (Compliance Risk, Fraud Risk, etc.)
- · Review and provide recommendations for changes to the Investment and other policies such as credit risk policy, liquidity risk policy and governance risk policy and place it with Board for approval.
- · Ensure implementation of an integrated investment management system across front office, mid office and back office.
- · Ensure investment policies are aligned to the investment objectives as documented in the Scheme Information Document (“SID”)
Job Type:
Full time
Locality:
Ahmedabad
Min Salary:
30 Lakh
Max Salary:
35 Lakh
Experience:
10
Eligibility:
Post Graduate
Mutual Fund
compliance officer
Compliance
PMS
risk assessment
IFSCA
SEBI Regulation
Country: India
State: Gujarat
City: Ahmedabad
