Job highlights

- Drafting / Vetting / updating Scheme Information Document,Statement of Additional Information,notices,addendums and other statutory documents . Should have the ability to work independently in order take the assigned task to a logical conclusion . Other responsibilities that may be assigned
- . EDUCATIONAL QUALIFICATION & EXPERIENCE . C.A
- To review marketing initiatives of the Company and provide necessary support in establishing appropriate compliance controls within the organization.
- Assist the Compliance Team in reviewing and approving marketing materials viz Print material, Videos, Online posts etc submitted by various departments.
- Assist the Compliance Team in reviewing website and in digital communications.
- Monitoring compliance with personal dealing policy of the company. Development and maintenance of Employee Dealing Software.
- Preparation and review of various regulatory reports / submissions, internal processes / policies and other documents and ensuring compliance with internal and external regulatory framework.
- Assist the Compliance Team in designing and maintain various systems including Compliance Calendar, Applications, Internal Website, AMC Website and other systems.




- Review compliance with investment restrictions through Bloomberg and other Offline mode in terms of applicable regulations.
- Monitoring and ensuring compliance with various laws and regulations applicable to Mutual Fund / AIF operations.
- To Update compliance policy(ies) and manuals and ensure relevant compliances
- Addressing, reviewing & resolving of Investor complaints.
- Drafting / Vetting / updating Scheme Information Document, Statement of Additional Information, notices, addendums and other statutory documents
- Should have the ability to work independently in order take the assigned task to a logical conclusion
- Other responsibilities that may be assigned.

EDUCATIONAL QUALIFICATION & EXPERIENCE

- C.A. or C.S. or L.L.B.

Experience : 6 to 10 years of experience in the Mutual Fund industry in the compliance.

PERSONAL ATTRIBUTES

- Good command over written and spoken English
- Good drafting ability and should possess positive regulatory knowledge
- Should have an eye for detail.
- Team player
- Ability to work within stringent timelines
- Good communication and interpersonal skills

📌 Team Member - Compliance (Mumbai)
🏢 Axis Asset Management
📍 Mumbai