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| Job Location | Mumbai City |
| Education | Not Mentioned |
| Salary | Not Disclosed |
| Industry | Legal |
| Functional Area | Corporate Legal Department |
| EmploymentType | Full-time |
Regular and ad hoc reportingEnsures regular reporting to the Regulators & Board of AMC and Trustees.Prepares bi-monthly, quarterly and half-yearly reports to be provided to trustees of AMCVets half-yearly and annual financials to be published and public domainReviewing Half yearly Portfolios and compliances for publishing and uploading on public domainTracking the investment in securities as per SAST regulation.Ensures Compliances with Dividend Declaration.Compliance of employees on trading regulationsAssists in reconciliation of securities transactions of employees.Highlights any gaps on a quarterly basis to the risk teamMonitoring of Voice RecordingReviews randomly picked sample calls of dealers with fund management team to check for any risks or red flagsConducts deep dive into any suspicious calls to flag them to leadership for further action.Compliance related to Portfolio Management ServiceEnsures regulatory reports for PMS like Scheme information and update of the Disclosure document are created and submitted in a timely and accurate mannerEnsures PMS fees is paid every 3 years.Vet the advertisements materials.AuditAssist in data collation and timely completion of Audit including SEBI Inspection.Regulatory adherence for sales team and asset management applicationEnsures NISM certification of sales staff as per regulatory requirements
Keyskills :
LegalCompliance