Qualified Company Secretary with relevant certification.
Minimum 2-3 years of post-qualification experience, preferably in the Mutual Fund industry.
Good knowledge of SEBI regulations, Companies Act, 2013, and related compliance requirements.
Excellent communication skills and attention to detail.
Requirements:
Assist in monitoring compliance with SEBI Mutual Fund Regulations and reporting requirements.
Prepare and submit reports to regulators, boards, and trustees in a timely manner.
Address investor grievances and manage communications like advertisements and factsheets.
Coordinate with regulatory authorities for approvals and ensure compliance with audit and inspection observations.
Job description
Job Role: Company Secretarial and SEBI Compliances
Reporting: Compliance Officer
Location: Mumbai
Key Responsibilities:
a) Assist in monitoring compliance of the SEBI Mutual Fund Regulations and timely reporting by MFAMC and exceptions thereto, to SEBI, Board of AMC and Trustees
b) Assist in Timely submission of periodical reports to Regulators, AMFI and Board of Trustees and AMC.
c) Addressing and timely resolving the Investor Grievances.
d) Prepare various advertisements, factsheets, posters etc., other communications to investors, certain Front Office transactions viz, ISTs, FDs
e) Maintenance of Compliance Manual, Updating Management on changes in regulatory environment.
f) Approval of personal trades by employees, providing guidance on employee dealing policy to the employees
g) Assist in Filing Draft Offer Documents, additional featuresproposals with SEBI for approval, coordinating between SEBI and AMC Officials for expeditious clearance of the new schemes.
h) Follow up on commitmentsobligations to SEBI and other Regulatory bodies.
i) Followup on Compliance related auditinspection observations and incidents for systemic corrections.
j) good knowledge of the Companies Act, 2013 and Rules made thereunder
k) Dealinginteracting with SEBISEsand other Regulatory Authorities Drafting of minutes of Board Committee meetings
l) Conducting annual general meetings and recoding the minutes of the same on timely basis of group companies
m) Knowledge of SEBI (MF) Regulations RBIFEMANBFC regulations Required skill sets:
Ability to manage multiple tasks simultaneously Ability to work as a contributing member of team excellent communication skills, both written and oral Fine attention to detail
Qualification: Company Secretary
Experience: Minimum 23 years of postqualification experience (Experience in Mutual Fund industry is preferable)
