AVP / Sr. Manager-Secretarial & Compliance (5 years of experience in Mutual Fund Industry) - Mumbai - Nariman Point

AVP / Sr. Manager-Secretarial & Compliance

We are hiring for one of our Client who is in to Mutual Fund Industry and looking for a AVP / Sr. Manager-Secretarial & Compliance with 5 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, director’s 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 :

Qualification & Experience :

Interested candidates can send resume on