Company Secretary - Compliance & Legal - AMC

One of Leading AMC hiring for Company Secretary - Compliance & Legal role.  

Company Secretarial and Legal 

- Regulatory Compliance of Companies Act, 2013, PMLA and Insider Trading Regulations.

- Conducting Annual General Meeting, Extra Ordinary General Meeting, Statutory Meeting and Board Meeting for AMC and Trustee Company for AMC and Trustee Company.

- Updating all the statutory register of AMC and Trustee Company.

- Filing all the Forms, statutory returns with ROC and other Regulatory authorities.

- Resolving Secretarial related issues with department/ Official concerned

- Registration / Renewal of licenses with Regulatory Authority

- Legal work covering drafting/perusing of various Agreements, documents, Investor Complaints and Arbitrations etc and compliance monitoring on daily basis.

Compliance : 

- Regulatory Compliance of Securities Act, Mutual Fund Regulation, PMLA and other regulatory compliances

- Reporting to the Boards with bi-monthly, quarterly and half yearly reports in accordance with SEBI (Mutual Funds) Regulations, 1996 and such other reports as prescribed by the Regulator from time to time

- Monitoring SEBI restrictions on the Schemes of the Mutual Fund, Monitoring of Schemes on the Limitations out of prospectuses and Monitoring Contractual limitations on Funds managed

- Vetting of all Offer Documents to review that they are in compliance with the SEBI Regulations.

- Pre-clearance of all marketing materials and filing the same with the Regulator

- Monitoring compliance with Insider Trading Regulations and Anti-Money laundering Policy

- Co-ordinating the Internal Audit Function

Qualification : B.Com, CS and LLB

Experience : 5 + years of experience working with an AMC

Khyati Parikh
Randstad