Key Technical skills : - Effective handling of compliance-related activities related of Mutual Fund and ensuring all compliances under SEBI Mutual Fund Regulations - Liaising with auditors- internal, concurrent and external auditors as well as handling of SEBI Inspection - Handling of Anti Money Laundering activities for the Fund - Review of ongoing advertisements /marketing materials - Handling of investment limit monitoring and other SEBI monitoring related compliances - Handling of end-to-end reporting requirements for SEBI/AMFI & RBI - Assist in preparation of Board meeting and Audit committee meetings for AMC & Trustee company and managing all the ROC-related procedures. - Assist in offer document preparation and issuing addendums, notices etc.and assisting in scheme launch activities - Interpretation of regulations and communicating regulatory changes to key functions/stakeholders - Ensuring compliance of Employee Dealing policy by the employees. - Drafting various policies and changes to be incorporated in policies. - Co-ordinating Statutory audits with external vendors that need to be submitted to SEBI - Reasonable knowledge/experience in handling legal agreements, legal notices, investor complaints etc. Key Functional Skills : - Good Knowledge of SEBI and other Regulations - Meticulous attention to details - Interpersonal, team working skills - Good written/verbal communication skills are important. - Qualified member of the Institute of Company Secretaries of India Behavioural Skills : - Self-motivated, positive and enthusiastic - Strong professionally-credible with integrity - Good listening skills - Will challenge constructively and respond well to feedback - Manages conflict effectively. - Ability to deal with ambiguity - Resourceful and team player - The candidate must act as a strong support to the Head - Compliance and effectively assist the Head in all activities pertaining to compliance, legal, reporting, Board meeting and other secretarial activities. - The person must provide adequate support to the Trustee Officer as required and be able to manage queries from functional stakeholders. - The person should be able to reasonably handle the function and act as a backup / delegate when the Head is on leave. - Must have min 4 years of relevant experience in Mutual Fund Industry

Mumbai

AVP/VP - Compliance/Secretarial & Legal - Mutual Fund Firm 

AVP/VP - Compliance/Secretarial & Legal - Mutual Fund Firm  ,Job Description for AVP/VP - Compliance/Secretarial & Legal - Mutual Fund Firm  in Confidential in  Mumbai for (8-16) years of experience. Apply Now!

Job Description for AVP/VP - Compliance/Secretarial & Legal - Mutual Fund Firm  in Confidential in  Mumbai for (8-16) years of experience. Apply Now!