Assistant Manager at Genius Consultant
Views:650 Applications:145 Rec. Actions:Recruiter Actions:4
Manager - Secretarial & Compliance - Mutual Fund (4-10 yrs)
Urgent Opening for Manager Compliance & Secretarial profile in Leading Mutual Fund Company
Designation : Manager - Compliance & Secretarial
Location : Mumbai
Experience : 4 Yrs
Qualification : B.com + (LLB/ CS)
CTC : Based on last drawn
Industry : AMC/ Mutual Fund Preference
Job Responsibility :
Compliance Functions :
- To ensure timely compliance with the requirements of SEBI (Mutual Fund) Regulations;
- To review and update on regularly basis Compliance Manual and Risk Management Manual;
- To conduct compliance awareness sessions;
- To ensure Compliance provision of RBI Act, Foreign Direct Investment norms; AMFI Circulars & notices
- To ensure Compliance with requirements of Debt Listing Agreement and
Trustees Stipulations as per SEBI Guidelines :
- To maintain and update of compliance tracker/ RBI Act and other applicable regulations ;AMFI Regulations
- To report Fraud cases with SEBI;AMF
- To overlook compliance of other Laws applicable to MF like PMLA, FATF reporting
- Mutual Fund Reporting (Daily/Monthly/Bi-Monthly/Quarterly/Half yearly/Yearly) as per SEBI/RBI/PMLA guidelines/regulations.
- To Interpret the various Circulars of SEBI,AMFI,RBI and other regulators and decide on course forward for implementation of the same.
- Having knowledge of PMLA Regulations and Anti Money Laundering rules.
- To co-ordinate with Internal Auditors, Statutory Auditors, SEBI Auditors;
- To maintain cordial relations with the regulators;
Secretarial Function :
- Activities relating to Board and Board Committee Meetings:
- To prepare and circulate agenda and ensure other arrangements pertaining to the Board meetings;
- To prepare notices, director's report, and minutes for the Board and General meetings;
- Maintaining Statutory registers and records and ensure timely filing of Annual reports, XBRL filings, Annual Returns and other forms with MCA.
- To design the framework to issue and list secured debentures on private placement basis to the tune of Rs. 1,000 Crores;
- To carry out secretarial procedures for changes in directorship, increase of authorised capital, change of main objects, change of name,
- Monitoring the activities of the Company in a proactive manner to detect and prevent potential breaches of compliance;
Legal Exposure :
- To draft, review and vet L&L legal agreements, service agreements, non-disclosure agreements, distributor(s) agreements, scheme transfer agreement information technology agreements and other utility agreements;
- To review and update various internal Manual and Policies;
- To draft, review and update Information Memorandum/ Scheme related documents;
- Liaisoning with Advocates
- To maintain legal tracker
Treasury and Fund Raising Activities :
- To co-ordinate with various banks for Credit facilities viz. Credit Facilities and Bank
- Guarantees and ensure timely compliance with the stipulations.
Call 8591283354
This job opening was posted long time back. It may not be active. Nor was it removed by the recruiter. Please use your discretion.