Legal & Compliance Role - AMC

Location: Mumbai

Position: Compliance & Legal

Experience: 4+ Years in financial sector, preferably with AMCs

Reporting: Group Head - Compliance & Legal

Job Description:

Key Skills:

(i) In-depth knowledge of regulations applicable to Mutual Fund and Portfolio Management industry. SEBI Mutual Fund and PMS guidelines/ regulations, the Companies Act, 1956, Foreign Exchange Management Act, Anti Money Laundering laws and KYC requirements.

(ii) Enthusiasm and drive to carry out designated tasks of the compliance function of the Asset Management Company almost independently and under the guidance of the Group Head wherever required.

(iii) Ability to drive the legal & secretarial function with required support from legal, secretarial consultants and under the guidance of the Group Head wherever required.

(iv) Excellent verbal and written communication.

Role & Responsibilities of the Position in brief:

- Ensuring compliances with SEBI under the Mutual Fund's Rules, Regulations, FEMA, Anti Money Laundering laws and KYC requirements and ensuring that the procedures are followed and regularly reviewed.

- Ensuring secretarial compliances under the Companies Act, 1956 and such other statutes, regulations and guidelines as required and developing good corporate governance practices for the companies. Arranging board/general meetings and prepare minutes thereof. Follow-up on matters where required to ensure that the decisions of the board are implemented

- Maintenance of secretarial records, statutory books and registers and handling statutory & internal audits. Responding to inspections, regulatory and audit queries as the principal point of contact

- Preparation, filing and registering forms, returns, applications or other documentation as required by and on behalf of the companies

- Handling special assignment relating to Business initiatives to the extent impacting Compliance and Legal affairs.

- Drafting and implementing compliance policies and procedures. Conducting compliance trainings for the employees

- Monitoring personal account dealings of the employees

- Assisting in fulfilling the registration and licensing requirements of the entities

- Conducting restricted area access reviews and compliance audits and helping in the Risk management

- Conducting internal compliance review and monitoring activities, including periodic reviews of departments

- Dealing with compliance queries raised by employees of various business divisions

- Develop global compliance practices and procedures