04/09 Anish Handa
Managing Partner at Dimensions HRD Consultants

Views:617 Applications:131 Rec. Actions:Recruiter Actions:3

AVP/VP - Compliance/Legal & Secretarial - AMC (12-15 yrs)

Mumbai Job Code: 845708


- Work and be responsible for all the matters relating to Regulatory Compliances, Legal and Company Secretarial streams of the organisation.

- Liaison with SEBI and other regulatory and other statutory / legal bodies for various Regulatory and other matters including but not limited to SEBI (MF) Regulations, RBI reporting, Companies Act, 2013, AML, Insider Trading, FATCA, etc.

- Overseeing all compliances within an organization, and ensuring compliance with laws, regulatory requirements, policies and procedures

- Develop, implement and oversee Compliance & Legal culture and systems within the AMC and Trust Company. Organize the Board meetings and manage the stake matters with the Board of directors of AMC and Trust Company.

- To act as Company Secretary of the Company and discharge all company secretarial matters


- A.C.S./F.C.S./ CA

- LL.B must.

- Minimum 12-15 years of work experience in reputed organisations. Out of which a minimum experience of at least 5 years in Asset Management companies. Long experience in Financial services industry is preferred.

- Good understanding of capital markets or distribution business.

- Good understanding of Regulatory and Legal affairs of the Indian mutual funds industry.

- Good understanding of equity / fixed income portfolio management and dealing protocols and life cycle.

- Excellent English verbal and written communication skills.

- Should be highly-analytical professional with ability to perform regular audits, implement company policies, and design control systems.

This job opening was posted long time back. It may not be active. Nor was it removed by the recruiter. Please use your discretion.

Women-friendly workplace:

Maternity and Paternity Benefits

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