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10/07 Rajeev
HR Head at Arin Consultancy

Views:849 Applications:227 Rec. Actions:Recruiter Actions:48

Manager - Compliance & Legal - Mutual Fund - CS + LLB (2-5 yrs)

Mumbai Job Code: 833093

Manager - Compliance & Legal - Mutual Fund


Job Responsibilities :

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

- 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 are prescribed by the Regulator from time to time

- Monitoring compliance under Mutual Fund Regulations and other SEBI Regulations

- Preparing and updating various scheme related documents under SEBI Mutual Fund Regulations

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

- Rendering support to the Company in ensuring compliance with Companies Act

- Assisting the company in filing of various forms under Companies Act, maintaining statutory registers

- Rendering support in the preparation of Agenda, Board Notes, Minutes for the AMC and Trustee Company

- Maintaining the compliance, legal and secretarial trackers/MIS and physical files;

- Rendering support to monitor compliance with various acts applicable to the Company

- Reviewing legal agreements as may be assigned from time to time.

Experience - 2-4 years in an AMC performing similar responsibility

Education - CS and LLB degree is mandatory. Candidates with CS degree and pursuing LLB 2nd year can be considered)

Must have requirements - Good communication skills, Team player.

Knowledge - Sound knowledge of SEBI regulations related to Mutual Funds is a must, Compliance monitoring and adherence requirements in AMC.

This job opening was posted long time back. It may not be active. Nor was it removed by the recruiter. Please use your discretion.

Women-friendly workplace:

Maternity and Paternity Benefits

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