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Company Secretarial and SEBI Compliances

Category: Product ID: 4694


About the job

Job Role: Company Secretarial and SEBI Compliances

Reporting: Compliance Officer

Location: Mumbai

Key Responsibilities

  • Assist in monitoring compliance of the SEBI Mutual Fund Regulations and timely reporting by MF/AMC and exceptions thereto, to SEBI, Board of AMC and Trustees
  • Assist in Timely submission of periodical reports to Regulators, AMFI and Board of Trustees and AMC.
  • Addressing and timely resolving the Investor Grievances.
  • Prepare various advertisements, factsheets, posters etc., other communications to investors, certain Front Office transactions viz, ISTs, FDs
  • Maintenance of Compliance Manual, Updating Management on changes in regulatory environment.
  • Approval of personal trades by employees, providing guidance on employee dealing policy to the employees
  • Assist in Filing Draft Offer Documents, additional features/proposals with SEBI for approval, coordinating between SEBI and AMC Officials for expeditious clearance of the new schemes.
  • Follow up on commitments/obligations to SEBI and other Regulatory bodies.
  • Follow-up on Compliance related audit/inspection observations and incidents for systemic corrections.
  • good knowledge of the Companies Act, 2013 and Rules made thereunder
  • Dealing/interacting with SEBI/SEs/and other Regulatory Authorities Drafting of minutes of Board/ Committee meetings
  • Conducting annual general meetings and recoding the minutes of the same on timely basis of group companies
  • Knowledge of SEBI (MF) Regulations/ RBI/FEMA/NBFC 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 2-3 years of post-qualification experience (Experience in Mutual Fund industry is preferable)-

Budget: As per Industry Standard