Experience

Bandhan Mutual Fund

• India
• Financial Services
• 200 - 300 Employee

• Compliance Executive

  • Aug 2009 - Present

  • Preparation of Scheme Information Document and Key Information Memorandum of Open and close ended schemes • Listing and Delisting of close ended schemes with SEBI,Stock Exchange and Depositaries. • Coordination/follow-ups with exchanges and depositaries • Preparation of Notices and addendums • Preparation of Monthly, Bimonthly, Quarterly and Half Yearly reports filed with SEBI(MCR, CTR, NSR etc) • Monitoring of Investment limits on Bloomberg and preparing report for the breach (Violation report) • Setting of rules for FMPs on Bloomberg • Checking of employee dealing transaction • Preparing of IMC minutes • Vetting of Fund review (Fact Sheet) • Filing of reports, notices, marketing literature, etc with SEBI • Filing of SAST (Substantial Acquisition of Shares & Takeovers) with Exchange and the Company • Monitoring of voice recorded calls as per the SEBI guidelines, preparation of report • Preparation of internal audit report of Suspicious Transactions (STR) and resolution in accordance with AMFI guidelines • Handling PAN India Debt and Equity fund payout and preparation of management information report • Liaison with banks and financial institutions to manage shortfall and excess of funds on daily basis • Create and maintain daily fund reconciliation report • Resolution of investor payment rejection and clearance through alternative payout methods • Co-ordination with cross functional teams to manage payouts. • Handling NFO of the AMC Show less



Sykes and Ray Equities (I) Pvt. Ltd

• Mumabi

• Client Relationship Executive

  • Dec 2007 - Jan 2009