Senior Role - Compliance - Mutual Fund

Job Context:

Adherence of high Corporate Governance standards by the Company, and being a publicly listed entity and to ensure compliances of varied laws appliable to the Company which has various regulators including the Securities & Exchange Board of India, Reserve Bank of India, Ministry of Corporate Affairs etc. The compliances are time-bound in nature and require in-depth knowledge of various laws.

Board/ Committee Meeting(s) related compliance:

- Preparation of Notice, Agenda, Board Presentation, supporting documents including compliance during the quarter to be placed at the Meetings, preparation of Minutes for the following :

1. Board (Preparation of Notice, Agenda, Board Presentation, Supporting documents)

2. Nomination, Remuneration and Compensation Committee (Preparation of Notice, Agenda, Presentation, Supporting documents)

3. Audit Committee (Preparation of Agenda, Notice & Minutes)

4. PIT Regulations Committee (Preparation of Agenda, Notice, Presentation & Minutes)

5. Corporate Social Responsibility Committee (Preparation of Notice, Agenda, Presentation, Supporting documents)

6. Independent Directors Meeting (Preparation of Notice, Agenda, Supporting documents

7. Intimations for closure of trading window on quarterly/ event based basis;

8. Drafting and co-ordination for publication of Newspaper Advertisement(s) for notice of Board Meeting(s) and quarterly financial results.

Stock Exchange related compliances:

1. Filing of quarterly/half yearly and annual Corporate Governance report with the Stock Exchanges.

2. Half yearly related party disclosure filed with the Stock Exchanges under Reg 23 (10) of SEBI LODR

3. Filing of Annual Secretarial Compliance report under SEBI LODR Regulations

4. Filing of quarterly statement of deviation under Regulation 32 of SEBI LODR Regulations

5. Filing of outcome of Board/ Committee Meeting, quarterly Quick financial results and Full financial results under regulation 33 of SEBI Listing Regulations, with the Stock Exchanges post Board/ Committee Meetings

6. Event based intimations to the Stock Exchanges.

7. All filings / compliances related to material subsidiaries of the Company.

8. Voting results of Postal Ballot/ AGM/ EGM

9. Event based disclosures under Insider Trading Regulations and Takeover Code.

10. Intimation of all correspondences with the Indian Stock Exchanges to Luxembourg Stock Exchange

RBI Related compliances:

1. Filing of returns and reports as required by RBI Regulations

2. Updating the Management about key regulations introduced by RBI having impact on the business/ CIC

3. Formulation of Policies as required by RBI as applicable to CIC

4. Up-dation of the policies as required to be maintained by the Company as per Regulations, proactively and as per regulatory requirements

5. Effective interaction in all audit and regulatory inspections

6. Validation of inspection observations and vetting replies of audit and inspection findings

7. Handling RBI Inspection and preparing response to inspection letter

8. Co-ordinating and Meeting RBI officials as and when required

Handling and Managing co-ordination with Subsidiaries,

1. Advising Subsidiaries for their queries, opinions and adoption of best practices with respect to Companies Act, Secretarial standard, SEBI and

2. To co-ordinate with other Subsidiary Company Secretaries in drafting, interpretation and implementation of new requirements / policies / charters / SOPs, etc. for compliance of the Companies Act / Listing Agreement

3. Review of the Compliance and Secretarial documents and its filing related to Indian subsidiaries;

4. Review of the quarterly MIS and Corporate Governance requirements related to Indian subsidiaries;