Motilal Oswal - Compliance - Legal & Secretarial - AMC

Profile Title: Compliance, Legal & Secretarial

Location- Mumbai-Motilal Oswal Tower

 Experience: Minimum 5 years post CS

Qualification- CS (Mandatory) additional Legal(optional)

Candidate Expectation- Looking for a candidate with minimum 5 years of AMC industry experience, and willing to have exposure in all 3 activities of compliance, legal & secretarial.

JD:

a) Handling Secretarial Matters :

Conducting of Board / General Meetings, drafting of agenda, Directors' Report, minutes, and all matters incidental thereto, Updating and maintenance of statutory registers and other Secretarial records and filling and filing of various documents, returns with the Registrar of Companies.

b) Handling Compliance Related Matters :

- Compiling compliance reports on a regular basis for the Board of Directors of the Trustee Company and AMC, including reports on the transactions of the schemes of the Fund with associate companies, performance of the schemes, personal transactions of the key personnel of the Fund, etc.;

- Responsible for day to day compliance and legal activities and monitoring.

- Drafting of Scheme information documents, SEBI correspondence, vetting legal agreements. Implemented effective compliance monitoring mechanism by way of exception reporting.

- Conducted periodic training and awareness programs for employees on compliance roles, responsibilities, and procedures.

1. SEBI /RBI circulars: Interpret, disseminate and ensure compliance with requirements of relevant regulatory bodies.

2. Regulatory correspondences: Interpret, disseminate, coordinate and ensure response is filed on time. Report to Senior Management on a weekly basis the status of all regulatory correspondences.

- Ensuring compliance with internal corporate policies and SEBI (Prohibition of Insider Trading) Regulations relating to employees personal security transactions and maintaining records for the same and ensuring Compliance with SEBI MF Regulations.

- Ensure compliance with SEBI PMS License

- Monthly / Qtlry and Half yearly PMS reporting to SEBI

- Handling SEBI Inspection

- Co-ordinate with internal Auditor and Statutory auditor.

- To ensure investment made by schemes are adhering with SEBI mutual Fund Regulation and Investment restrictions for the schemes.

- Ensure investments made by schemes are as per scheme information document and Investment policies.

- Reporting to stock exchanges and companies as per SEBI (Substantial Acquisition of Shares and Takeovers) (Amendment) Regulations and SEBI (Prohibition of Insider Trading) (Amendment) Regulations.

- Preparing various procedural manual (Risk, Compliance, Investment Monitoring and PMLA).

- Revamping of policies to keep it in line with the regulatory development.

- Co-ordinate with Operations team for finalizing Half Yearly financials, Half Yearly portfolio, Annual Financial and Abridged Financial.

- Develop various processes for Fund Accounting Team, Investor Service Department and Risk Department.

- Leading team for system up-gradation while there is change in regulation or valuation policies.

- Handling SEBI inspection.

3. Regulatory authorities: Liaison and foster good relations. Seek clarity & advice where necessary.

4. Regulatory audit & inspection: Coordinate during annual & quarterly financial inspections and surprise & incognito visits to Head office and Branch. Report the exceptions to Senior Management, follow-up and ensure closure of open points.

5. Regulatory reporting: Automate, maintain & update and report fortnightly the delays & exceptions to Senior Management.

6. Product & Process review: Advice and ensure compliance with regulatory guidelines.

7. Compliance reviews: Assess/setup risk mitigation framework in the organization. Monthly, quarterly and yearly review to monitor and ensure compliance with regulatory guidelines. Report exceptions to Senior Management and ensure closure of open points. for overseas branches.

8. Compliance dashboard: Report weekly to Compliance Head the status of various actionable against Compliance group recurring on a daily / weekly / monthly / quarterly / half yearly / yearly basis.

c) Handling Legal Matters :

- Responsible for day to day legal activities and monitoring.

- Drafting and vetting legal agreements.

- Vetting of advertising materials.

- Compiling compliance reports on a regular basis for the Board of Directors of the Trustee Company and AMC, including reports on the transactions of the schemes of the Fund with associate companies, performance of the schemes, personal transactions of the key personnel of the Fund, etc.;

- Conducting of Board / General Meetings, drafting of agenda, Directors' Report, minutes, and all matters incidental thereto, Updating and maintenance of statutory registers and other Secretarial records and filling and filing of various documents, returns with the Registrar of Companies.