PPFAS - Manager - Secretarial & Compliance

1 week ago


Mumbai, Maharashtra, India PPFAS Asset Management Private Limited Full time
Manager - Secretarial & Compliance

Kindly find the Below Roles & 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
  • Coordinating with various interdepartments on Regulatory Requirements
  • Well versed with Clearing Marketing materials under Advertisement Code
  • 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.
  • 4+ Years of Work Experience in Mutual Fund Industry/AMC
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