04/09 Anish Handa
Managing Partner at Dimensions HRD Consultants

Views:558 Applications:122 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.

Women-friendly workplace:

Maternity and Paternity Benefits

Add a note
Something suspicious? Report this job posting.