Deadline
Open Deadline
Location
Bengaluru, Karnataka, India.
Salary
Compensation details will be finalized during the interview process with the selected candidate.
Details of the Organization
Zerodha fund house, they are enabling the next generation of Indian investors. They feel mutual funds as a product need to be reimagined to build simple & relevant investment solutions for the next 10 crore individuals to participate in and grow the capital markets in India. Built by the team behind Zerodha & smallcase, Zerodha Fund House brings the principles of simplicity, cost-effectiveness, and transparency to mutual funds.
Details of the Job/Internship
Zerodha Fund House is hiring a Senior Associate-Compliance with experience of 2 to 5 years to join their office in Bengaluru.
Role and Responsibilities
General Compliance Responsibilities
- Assist in the finalization of reports to be filed with SEBI, AMFI, RBI and the Board of AMC and Trustees.
- Assist in update of regulatory documents such as SID, KIM, and SAI.
- Draft notices, addendums, and board communication related to compliance matters.
- Pre-clearance of all marketing materials and filing the same with the regulator.
- Assist in finalization of STR/NTR and other related reports as required under PMLA.
- Assist in the updation of the Compliance Manual and other mutual fund-level policies.
Research and Regulatory Updates
- Proactively track and analyze new circulars and directives issued by SEBI and AMFI.
- Prepare reports on the impact of regulatory changes.
- Assist in implementing changes required by new guidelines, ensuring seamless compliance.
- Provide support for research for new initiatives.
Compliance Surveillance and Monitoring
- Conduct reviews to ensure compliance with dealing room practices, insider trading regulations and ethical standards.
- Analyze transaction/s to identify and report suspicious activities or regulatory breaches.
- Review of call recordings, emails, and communications.
- Review of personal transaction/s of employees.
- Monitor compliance limit breaches/ alerts.
- Proactively monitoring to detect and prevent potential breaches of compliance norms.
Reporting and Liaison
- Prepare various compliance-related reports and MIS for the team.
- Liaise with exchange/s on matters related to listed ETFs and other compliance requirements.
- Coordinate with Internal Auditors, Statutory Auditors, and SEBI Auditors and Assist in handling SEBI inspection.
Eligibility
- Total experience of 3-5 years with a minimum of 2 years of experience working in the compliance department of an Asset Management Company/ Mutual Fund.
- Graduate in any discipline or CS/CA/ ICWA/ L.L.B/MBA.
Salary/Stipend
Compensation details will be finalized during the interview process with the selected candidate.
Type of Opportunity
Fulltime
Country
India
State
Karnataka
City
Bengaluru
Address
Bengaluru, Karnataka, India.
Application and Registration Details
Once you apply, the next steps in the application process will be sent to you via e-mail.
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Contact: [email protected]
Would you like to apply immediately?
Once you apply, the next steps in the application process will be sent to you via e-mail.
