Senior Consultant at CareerNet Consulting
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Manager/Senior Manager - Legal - NBFC (5-10 yrs)
- Supervising various Compliances as per SEBI Regulations on day-to-day basis, internal compliance systems, etc.
- Interacting with the statutory authorities for approvals & clarifications
- Compliances with PMLA guidelines, Drafting and Vetting of various distributor, office agreements, redressal of investor grievances, etc.
- Drafting minutes of AMC and Trustee Company, Reporting of compliances.
- Generation of MIS and reporting to top level management, Handling of Statutory Audit, SEBI Audit, Internal Audit, etc.
- Checking of Compliance limits as per SEBI Regulations, Liasoning with the auditors on compliance issues
- Providing compliance updates to various departments, Monitoring & reporting of compliances relating to investors servicing to statutory authorities
- Approving advertisements for marketing dept, Ensure that the guidelines are adhered to for introduction of new schemes, change in load structure based on recommendations from marketing and sales.