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Manager-Secretarial & Compliance (5+ years of experience in Mutual Fund Industry) - Mumbai - Nariman Point

4 months ago

Mumbai, India Talent Corner HR Services Pvt Ltd Full time

Manager-Secretarial & Compliance


We are hiring for one of our Client who is in to Mutual Fund Industry and looking for a 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:

● 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.

● 5+ Years of Work Experience in Mutual Fund Industry/AMC


Interested candidates can send resume on

anita.kulkarni@talentcorner.in