Compliance & Secretarial Role - BFS

Principal Accountabilities:

Regulatory compliances / reporting for MFs, PMLA, Insider Trading / Personal Securities Transactions, support in compliance related matters under MF Regulations, regulatory change management, process improvements & automation.

Role and Responsibilities:

- Responsible to ensure compliance with requirements prescribed under Companies Act, 2013 including guidelines/notifications issued from time to time

- Convening and conducting board and committee meetings, general meetings, preparation and dispatch of agenda, drafting notices and minutes of the meetings, filing of various forms with authorities, coordination with the board of directors for various secretarial matters.

- Maintaining Statutory registers and records and ensure timely filing of Annual reports, XBRL filings, Annual Returns and other forms with MCA;

- Independently manage reporting requirements to SEBI, AMFI, AMC / Trustee Board. Also cater to the reporting needs of the management as may arise from time to time.

- Manage / assist in various compliance matters viz. offer documents / KIM, scheme launch (end to end compliance), review of HY financials and portfolios, Trustee report to unit holders, Manuals & policies implementation & updation, issue of notices & addendums pursuant to changes in scheme features, appointment of directors / key persons, merger / winding up of schemes / changes in fundamental attributes, monitoring of voice recording, monitoring alerts from Scores Portal for MF, preparing comprehensive checklist for various regulatory activities as and when required.

- Vetting of marketing materials including digital initiatives introduced on the Website, Online Portal, Mobile App, etc of the Company

- Implementation of regulations around Personal Trading, Insider Trading, Code of Conduct, policy framework vis- vis regulatory requirements, keeping track of regulatory developments, imparting training to employees, review of control framework, maintenance of records etc.

- Other compliance matters as may be delegated from time to time.

- Liaising with the auditors- internal, concurrent and external auditors as well as handling of SEBI Inspection Audit relating to Compliance Dept.