Manager-Secretarial & Compliance

Job Description:
Kindly find the Below Roles & Responsibilities:
Having 3-5 years of experience in the Mutual Fund Industry.
Skills required:

• Well versed with SEBI (MF) Regulations
• Root cause analysis,
• Multitasking
• Experience of working in AMC
• Effective Interpersonal Communication

Compliance & Secretarial Functions

• To ensure timely compliance with the requirements of SEBI (Mutual Fund) Regulations;
• To review and update on regularly basis Compliance Manual and other policies;
• To conduct compliance awareness sessions on Insider Trading,etc;
• To ensure Compliance provision of RBI Act, Foreign Direct Investment norms; AMFI Circulars & notices
• To maintain and update of compliance tracker/ RBI Act and other applicable regulations;AMFI Regulations
• Mutual Fund Reporting (Daily/Monthly/Bi-Monthly/Quarterly/Half yearly/Yearly) as per SEBI/RBI/PMLA guidelines/regulations.
• To Interpret the various Circulars of SEBI,AMFI,RBI and other regulators and decide on course forward for implementation of the same.
• Having knowledge of PMLA Regulations and Anti Money Laundering rules.
• To coordinate with Internal Auditors, Statutory Auditors, SEBI Auditors;
• To maintain cordial relations with the regulators;
• Preparation of Board Agenda, Committee Agenda, and Minutes of the Meetings,To prepare notices, director’s report, and minutes for the Board and General meetings;
• Preparation and periodic updation of Scheme Information Documents
• Review of Half yearly and annual scheme reports/portfolio
• Co-ordinating with various inter-departments on Regulatory Requirements
• Well versed with Clearing Marketing materials under Advertisment Code
• Maintaining Statutory registers and records and ensure timely filing of Annual reports, XBRL filings, Annual Returns and other forms with MCA.
• Monitoring the activities of the Company in a proactive manner to detect and prevent potential breaches of compliance

Qualification & Experience:

• B.Com, ACS, LLB.
• Any course in Anti Money laundering will be an added advantage.
• 3 to 5 Years of Work Experience in Mutual Fund Industry/AMC

Job Location: Mumbai
CTC: As per market standards.
Interested? Please click here to fill out the form.