Manager - Compliance & Legal - Mutual Fund - CS + LLB

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.