Senior Manager-Legal, 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 conduct compliance awareness sessions on Insider Trading, etc.
• 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.
• To coordinate with Internal Auditors, Statutory Auditors, SEBI Auditors.
• To maintain cordial relations with the regulators.
• Preparation and Finalisation of Board Agenda, Committee Agenda, and Minutes of the Meetings, To review 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.
• Monitoring the activities of the Company in a proactive manner to detect and prevent potential breaches of compliance.
• To vet the Distributor empanelment agreements, vendors agreements and Branch agreements and any other legal work.

Requirements :

• B. Com, ACS, LLB.
• Any course in Anti Money laundering will be an added advantage.
• 6 to 8 Years of Work Experience in Mutual Fund Industry/AMC