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AVP - Compliance/Secretarial & Legal - Mutual Fund Firm (4-12 yrs)
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