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Compliance Manager/Company Secretarial - BFSI (3-10 yrs)
Job Role: Compliance Officer & Company Secretarial
Location: Prabhadevi, Mumbai
a) Monitoring compliance of the SEBI Mutual Fund Regulations and timely reporting by MF/AMC and exceptions thereto, to SEBI, Board of AMC and Trustees
b) Timely submission of periodical reports to Regulators, AMFI and Board of Trustees and AMC.
c) Addressing and timely resolving the Investor Grievances.
d) Vetting and approving various advertisements, factsheets, posters etc., other communications to investors, certain Front Office transactions viz, ISTs, FDs
e) Maintenance of Compliance Manual, Updating Management on changes in regulatory environment.
f) Approval of personal trades by employees, providing guidance on employee dealing policy to the employees
g) Checking & Filing Draft Offer Documents, additional features/proposals with SEBI for approval, coordinating between SEBI and AMC Officials for expeditious clearance of the new schemes.
h) Follow up on commitments/obligations to SEBI and other Regulatory bodies.
i) Follow-up on Compliance related audit/inspection observations and incidents for systemic corrections.
j) good knowledge of the Companies Act, 2013 and Rules made thereunder
k) Dealing/interacting with SEBI/SEs/and other Regulatory Authorities Drafting of minutes of Board/ Committee meetings
l) Conducting annual general meetings and recoding the minutes of the same on timely basis
m) Knowledge of SEBI (MF) Regulations/ RBI/FEMA/NBFC regulations
Required skill sets:
Ability to manage multiple tasks simultaneously
Ability to work as a contributing member of team excellent communication skills, both written and oral Fine attention to detail
Qualification: Company Secretary
Experience: Minimum 3 years of post-qualification experience
Kindly apply only if you are working as Compliance office and Company secretary in a mutual fund company.
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