Associate-Compliance

Job Description

Role & responsibilities

To prepare and review various Compliance reports for submission to Board and SEBI.
To review reports on screening and reverse screening of investors on daily basis
To review and analyse Suspicious Transaction alerts/NTR on monthly basis and file the same with FIU- India
To ensure compliances with AML Standards and Combating the Financing of Terrorism (CFT) / Prevention of Money Laundering Act, 2002 and Rules framed there under
To coordinate and review periodic data required by SEBI, AMFI and RBI.
To work on regulatory reports for submission to SEBI, AMFI and RBI.
To keep updated on regulatory changes and provide guidance to internal stakeholders.
To oversee compliance with Employee Dealing Guidelines, Code of Conduct and undertake review of transactions as per PMLA Regulations.
To prepare and coordinate for release of statutory notices and addenda.
To oversee compliance with internal Bandhan AMC policies.

Preferred candidate profile

CA/CS/CMA/MBA. LL.B. would be preferred as an additional qualification

Conversant with SEBI (Mutual Funds) Regulations, Prevention of Money Laundering Act(PMLA), 2002 and Rules framed there under