compliance Risk officer

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Posted by Pooja Tiwari

28 Jun 2024, 04:50 PM

Job Id: #41036962

ROLES & RESPONSIBILITIES

· Monitoring compliance of the SEBI Regulations & International Financial Services Centres Authority (IFSCA) regulations and timely reporting by AMC and exceptions thereto, to SEBI, to IFSCA, Board of AMC
· 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 communicatio , 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 correction

JOB DETAILS

Job Type:

Full time

Locality:

Ahmedabad

Min Salary:

25 Lakh

Max Salary:

30 Lakh

Experience:

Eligibility:

Post Graduate

REQUIRED SKILLS

compliance officer

wealth management

Compliance

PMS

JOB LOCATION

Country: India

State: Gujarat

City: Ahmedabad