Senior Manager / Manager – Compliance
WHITEOAK CAPITAL GROUP
Mumbai,
Maharashtra
- careers@whiteoakinvestors.com
- +91
3 weeks ago
WHITEOAK CAPITAL GROUP
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Profile | Senior Manager / Manager – Compliance
WhiteOak Capital Asset Management
About:
WhiteOak Capital is an investment management firm with over $12bn of AUM across India and Global Emerging Markets. The firm was set up by Prashant Khemka, former CIO of Emerging Markets Equity, and India Equity at Goldman Sachs Asset Management. White Oak Capital Group entities have offices in India, Singapore, Switzerland, Dubai, Mauritius, and UK.
Role:
The selected candidate will be responsible for overseeing regulatory compliance, implementing SEBI requirements and will be reporting to Head - Compliance.
Qualifications:
- CS (+LLB preferable).
- 4-6 years’ experience in the Mutual Fund industry.
Key Responsibilities:
- Drafting and filing of SIDs for Mutual Fund products with SEBI.
- Dissemination of key regulatory communications to relevant stakeholders, ensuring timely implementation and continuous monitoring of compliance.
- Managing SEBI Inspections and Internal Audits
- Filing of various Regulatory Reports under Mutual Fund regulations and ad hoc reports to RBI, SEBI and AMFI. Also ensuring filings under PMLA to FIU
- Vetting of Marketing literature under the advertisement code
- Monitoring of website and social media platforms
- Monitoring the provisions of SEBI Institutional Mechanism
- Limits Monitoring on Bloomberg system with the team’s assistance
- Updation of various Policies / Manual and implementation of new Policy
- Training of employees on Personal Securities transaction, PMLA & Advertisement guidelines
- Assisting the team with AIF / PMS compliance and reporting
Location: Mumbai
Please email your CV to careers@whiteoakinvestors.com
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