Principal Consultant at Jubilant HR Consultant
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Chief Manager/AVP - Compliance & Company Secretary - Fund Management Firm (10-16 yrs)
Our client is India's top 3 AMC and have excelled by understanding investor's requirements and terms of risk / return expectations, based on which they design PMS products and suggest customized asset portfolio recommendations.
Job role - CM / AVP - Compliance
Reporting to Vice President
Location - Mumbai
Role and Responsibilities
- Handling of all Product Compliances related to Mutual Fund, PMS and AIF activities.
- Compliance with all statutory and legal compliance applicable to Indian company involving foreign shareholders
- Monitoring compliances with corporate laws including Companies Act.
- Responsible of Scheme Information Documents and issuing of notice /addendum for change in features
- Handling of all regulatory Compliance relating to appointment of Directors / Trustees on the Board of the Company
- Ensuring the compliance of Employee Dealing policy by the employees.
- Handling compliance under AML laws
- Managing drafting of various policies or changes to be incorporated in policies.
- Preparation / Submission of various periodic reports to SEBI, AMFI and other regulatory agencies
- Liaising with the auditors- internal, concurrent and external auditors as well as handling of SEBI Inspection Audit relating to Compliance Dept.
- Lead Liaising with government departments and regulatory authorities like ROC, MCA, SEBI& NSE for obtaining sanctions and ensuring compliance with various statutory obligations.
- Preparation of agenda papers for various meetings of the Board of Directors of AMC and Trustee Company, their Committee Meetings, General Meetings etc. and other meeting related work.
- Monitoring of 5%/2% limit disclosure under SEBI (Prohibition of Insider Trading) Regulations, 1992 and SEBI (Substantial Acquisition of Shares and Takeover) Regulations, 1997, as applicable and coordination for reporting to the Company and designated Stock Exchanges, where required.
- Preparation of all statutory registers, forms, certificates etc. as required under various Acts and regulations
- Preparation and filing of annual returns, forms certificates etc.
- Preparation of documentation and appropriate filing in respect of any changes to directors, registered office of the company etc.
- Providing general advice with regard to corporate secretarial practise
- Good knowledge of Indian Companies Act 2013 and related legal regulations like SEBI, Environmental laws, Foreign Exchange Management Act
Skills & Competencies
- Excellent knowledge of various product compliances as required by the statutory body
- Good Knowledge of Company's Act & SEBI Regulations
- Meticulous attention to details &
- Timely Management
- Excellent computing, secretarial, interpersonal, team working and written/verbal communication skills are also important.
Qualification & Experience
- Qualified and member of the Institute of Company Secretaries of India (ACS)
- 10 + years post qualifications experience in an Asset Management Company / BFSI Sector.
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