Trustee Officer - Compliance & Secretarial - Mutual Fund

PRINCIPAL ACCOUNTABILITIES :

- Assist the Trustee Company and discharge all such activities assigned to the Trustee Officer.

- Co-ordinate, supervise for compliance under SEBI MF Regulations, Corporate Laws, etc. for Trustee Company as assigned by Trustee Company.

- Liaison with the Compliance department with the MF Compliance function

- Monitor the Action taken report prescribed by the Trustees and follow up action.

- Co-ordination of Statutory Audit, SEBI Audit, Internal Audit, etc. including presenting to Trustees the audit observations and work with the Trustee Board to provide Trustee comments for various audits and Inspection like SEBI Inspection, System audit report, Cyber audit report etc

- Ensuring implementation of SEBI circulars w.r.t Trustee's obligations.

- Preparation of Trustee report to unitholders.

- Preparation of Trustee reports to be filed with SEBI, etc.

DECISIONS:

To ensure implementation of all activities assigned by the Trustee Company and to work under the supervision and direction provided by Trustee Board.

CHALLENGES:

Interpretation of SEBI MF Regulations, various SEBI Circulars and other statutory laws/regulations/guideline.

INTERACTIONS

Internal Clients:

Roles you need to interact with inside the organization to enable success in your day to day work

- Internal teams like Investment Operations, Investments, Compliance & Risk, CEO Office etc.

External Clients:

Roles you need to interact with outside the organization to enable success in your day to day work

- Auditors and Service Providers

SKILLS AND KNOWLEDGE

a) Qualifications

CA/CS/ICMA/LLB/MBA

b) Work Experience

- Minimum 5 years experience in Mutual Fund Compliance