To ensure Compliance with applicable SEBI and RBI regulations for Portfolio Management Services and Investment Advisory Services; Drafting and implementation of policies for internal controls, to liaison with legal advisors as required. Updating the Board of Directors on internal legal and regulatory matters and new developments affecting the Organization. Primary Responsibilities: 1. Drafting, Finalizing & Implementing policies and processes to ensure all areas of business are adequately governed by the appropriate legal and regulatory framework and avoid any conflicts of interest. 2. Drafting, Finalizing & Implementing policies to monitor the organizations operations, detect, report and control breaches, if any; 3. Drafting, Finalizing & Implementing policies to approve, monitor and control the investment, trading of securities by employees in their personal capacity, as governed by the Organizations Policies and Regulatory Framework. 4. Maintain a schedule, finalize and complete timely and in an accurate manner, all of the Applications, Reports, Filings and any other documentation required to be furnished to the regulatory agencies governing the Organization's Operations and Compliance; 5. Overall Responsibility to maintain Compliance with the applicable regulations, circulars and mandates issued by all the regulatory agencies (SEBI & RBI); 6. Periodic testing and review of existing policies and procedures for effectiveness and applicability. Secondary responsibilities: 1. Preparing periodic applicability and feasibility reports on current regulatory environment. 2. Educating and informing the employees and the Board of Directors of changes and applicability of new policies and regulations implemented and reasons for the same. 3. Guiding and Assisting the Organization on Regulations, Framework and Structures applicable for launch of new products / for introduction of a new business line or a new investment vehicle. 4. Leading legal and regulatory due diligence of new businesses or products to be acquired or launched by the Organization. Educational qualifications: 1. MUST be Company Secretary 2. Additional Qualifications preferred: Bachelor's or Masters in Law Soft Skills Required: - Excellent written and verbal Communication, - Creativity and Problem solving attitude, - Strong business and legal ethics, - working knowledge of word processing and, spreadsheet and computing skills. - Minimum work experience: 3 years or more in Securities or Investment Compliance or Law. - Reporting: Principal Officer and Board of Directors.

Mumbai

Multi-Act - Manager - Compliance - Portfolio Management/Investment Advisory Services 

Multi-Act - Manager - Compliance - Portfolio Management/Investment Advisory Services  ,Job Description for Multi-Act - Manager - Compliance - Portfolio Management/Investment Advisory Services  in Multi-Act Equity Consultancy Pvt. Ltd. in  Mumbai for (3-8) years of experience. Apply Now!

Job Description for Multi-Act - Manager - Compliance - Portfolio Management/Investment Advisory Services  in Multi-Act Equity Consultancy Pvt. Ltd. in  Mumbai for (3-8) years of experience. Apply Now!