Assistant Manager-Secretarial & Compliance (2+ years of experience in Mutual Fund Industry) - Mumbai - Andheri

Assistant Manager-Secretarial & Compliance

We are hiring for one of our Client who is in to Mutual Fund Industry and looking for a Assistant Manager-Secretarial & Compliance with 2+ years of experience in the Mutual Fund Industry.

Key Responsibilities:

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, Foreign Direct Investment norms; 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 of Board Agenda, Committee Agenda, and Minutes of the Meetings,To prepare notices, directors report, and minutes for the Board and General meetings;

Preparation and periodic updation of Scheme Information Documents

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 Advertisment Code 2 | Page Confidential

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

Skills required:

Well versed with SEBI (MF) Regulations

Root cause analysis,

Multitasking

Experience of working in AMC

Effective Interpersonal Communication

Qualification & Experience:

B.Com, ACS, LLB.

Any course in Anti Money laundering will be an added advantage.

2+ Years of Work Experience in Mutual Fund Industry/AMC

Interested candidates can send resume on