Manager / Senior Manager Compliance, Secretarial & Legal

Responsible for all day to day matters relating to Regulatory Compliance including but not limited to SEBI (MF) Regulations, RBI reporting, Companies Act, 2013, AML, Insider Trading, FATCA, etc.

Responsible for all legal documentation, negotiations, litigations, etc.

To act as a Asst. Company Secretary of the Company and discharge all company secretarial matters

Reporting to: Compliance Officer & Company Secretary

Role & Responsibilities

• Responsible for all compliance initiatives and handle all day to day compliance activities.

• Independently manage reporting requirements to SEBI, AMFI, AMC / Trustee Board. Formulation and ensuring Implementation of Compliance Policies / procedures.

• Preparation of Offer documents to be filed with SEBI for launch of new products.

• Ensuring compliance under SEBI Regulations, AML and company law.

• Remain abreast of latest circulars, regulatory amendments, AMFI guidance and provide summarized updates to the Management

• To interact with Regulator, RBI, AMFI, FIU, etc. and ensuring cordial relations with them.

• To discharge all obligations under Anti-money laundering laws and Rules.

• Support in managing regulatory inspections of MF especially w.r.t. AML, Insider Trading, Conflict of interest etc. Independently manage audit requirements and ensure timely closure and zero observation reports.

• Responsible for work relating to all board, committees and shareholder meetings of AMC & Trustee Company including attending all these meetings.

• Ensuring all company secretarial activities including share issuance, forms filing with ROC, managerial appointments, shareholders matters, etc.

• Well-versed with relevant corporate laws applicable to the industry specifically the provisions of Companies Act, 2013, SEBI/AMFI regulations and compliances thereunder

• Responsible for all legal activities including managing/ advising/negotiating on all legal matters.

• Prepare standard legal documents, all policies including Group standards, update them from time to time, and keep their version controls and ensuring compliance with the same.

• Responding to legal and other notices / queries within a defined timeline including to external third parties and regulatory authorities.

• Ability to identify legal implications arising out of an agreement, matter or litigation and advising various stakeholders.

• Suggesting measures for process improvements, automation, review & strengthening of controls framework, act as a change agent.

• Assisting Compliance Officer in setting up of new business/business transition.

Qualification & Skillsets

Industry : Asset Management

Job Locations : Mumbai

Traits Required:

• Good understanding of capital markets or distribution business including regulatory and legal affairs of the Indian mutual funds industry.

• Should have good understanding of equity / fixed income portfolio management and dealing protocols and life cycle.

• Good knowledge of anti-money laundering, FATCA and KYC norms is a must.

• Should have excellent English communication skills both verbal and written.

• Should be hands over on compliance/legal language cum documentation.

• Must exhibit good relationship skills and team management qualities.

Who can apply :

• Well qualified with minimum 4 - 7 years of experience with a mutual fund in a key compliance/ /secretarial role.

• Candidates currently into an AMC managing similar role and responsibilities