ABOUT ZERODHA FUND HOUSE
At Zerodha fund house, we are enabling the next generation of Indian investors. We feel mutual funds as a product needs 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 the mutual funds.
RESPONSIBILITIES INCLUDE
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 updation of 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.
REQUIREMENT
Total experience of 3-5 years with minimum 2 years of experience of working in the compliance department of Asset Management Company/ Mutual Fund.
Graduate in any discipline or CS/CA/ ICWA/ L.L.B/MBA