Assistant Manager / Deputy Manager-Secretarial & Compliance

• Well versed with SEBI (MF) Regulations
• Root cause analysis,
• Multitasking
• Experience of working in AMC
• Effective Interpersonal Communication

• To ensure timely compliance with the requirements of SEBI (Mutual Fund) Regulations.
• To review and update on regularly basis Compliance Manual and other policies.
• To ensure Compliance provision of RBI Act, AMFI Circulars & notices
• To maintain and update of compliance tracker/ RBI Act and other applicable regulations; AMFI Regulations
• 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.
• Preparation of Board Agenda, Committee Agenda, and Minutes of the Meetings, to prepare notices, director s report, and minutes for the Board and General meetings.
• Preparation and periodic updating of Scheme Information Documents, SAI and KIM
• Review of Half yearly and annual scheme reports/portfolio
• Co-ordinating with various inter-departments on Regulatory Requirements
• Well versed with Clearing Marketing materials under Advertisement Code
• Maintaining Statutory registers and records and ensure timely filing of Annual reports, XBRL filings, Annual Returns and other forms with MCA.

Requirements :  

• B. Com, ACS
• Any course in Anti Money laundering will be an added advantage.
• (1-3 years work experience),Work Experience in Mutual Fund Industry/AMC