Specialist at Randstad India
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Company Secretary - Compliance & Legal - AMC (5-9 yrs)
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.
- 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