Recruiter at PPFAS Mutual Fund
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PPFAS - Manager - Compliance - LLB/CS (7-10 yrs)
We are looking to hire a Manager Compliance for our company. The position is based in Mumbai and will be reporting into the CEO.
Role & Responsibilities:
- 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;
- 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;
- 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.
- B.Com, ACS, LLB.
- Any course in Anti Money laundering will be an added advantage.
- Minimum 7 years of relevant experience in a Mutual Fund company.