Assistant Vice President - Compliance - Mutual Fund

Description:

Role and Responsibilities:

- Monitoring compliances with corporate laws including Companies Act.

- Liaising with government departments and regulatory authorities like ROC, MCA, SEBI, BSE & NSE for obtaining sanctions and ensuring compliance with various statutory obligations.

- Liaising with the auditors- internal, concurrent, and external auditors as well as handling of SEBI Inspection Audit relating to Compliance Dept.

- Preparation of agenda papers, minutes for various meetings of the Board of Directors of AMC and Trustee Company, their Committee Meetings, General Meetings etc. Involved in preparation of action points and follow up with various departments.

- Handling of all regulatory Compliance relating to appointment of Directors / Trustees on the Board of the Company

- Assisting compliances for Mutual Fund, AIF and PMS activities

- Arranging and overseeing the smooth conduct of Board / committee / general Meetings of the Company as well as the Trustee Company.

- Maintenance of Statutory Registers