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Compliance Manager

3 months ago

Mumbai, Maharashtra, India Talent Corner HR Services Pvt Ltd Full time

Compliance Manager:

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

Key Responsibilities:

  • To ensure timely compliance with the requirements of SEBI (Mutual Fund) Regulations;
  • To review and update on regularly basis Compliance Manual and Risk Management Manual;
  • To conduct compliance awareness sessions;
  • To ensure Compliance provision of RBI Act, Foreign Direct Investment norms; AMFI Circulars & notices
  • To ensure Compliance with requirements of Debt Listing Agreement and Trustees Stipulations as per SEBI Guidelines;
  • To maintain and update of compliance tracker/ RBI Act and other applicable regulations;AMFI Regulations
  • To report Fraud cases with SEBI;AMF
  • To overlook compliance of other Laws applicable to MF like PMLA, FATF reporting
  • 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 co-ordinate with Internal Auditors, Statutory Auditors, SEBI Auditors;
  • To maintain cordial relations with the regulators;

Secretarial Function:

  • Activities relating to Board and Board Committee Meetings:
  • To prepare and circulate agenda and ensure other arrangements pertaining to the Board meetings;
  • To prepare notices, director's report, and minutes for the Board and General meetings;
  • Maintaining Statutory registers and records and ensure timely filing of Annual reports, XBRL filings, Annual Returns and other forms with MCA.
  • To design the framework to issue and list secured debentures on private placement basis to the tune of Rs. 1,000 Crores;
  • To carry out secretarial procedures for changes in directorship, increase of authorised capital, change of main objects, change of name,
  • Monitoring the activities of the Company in a proactive manner to detect and prevent potential breaches of compliance;

Legal Exposure:

  • To draft, review and vet L&L legal agreements, service agreements, non-disclosure agreements, distributor(s) agreements, scheme transfer agreement information technology agreements and other utility agreements;
  • To review and update various internal Manual and Policies;
  • To draft, review and update Information Memorandum/ Scheme related documents;
  • Liaisoning with Advocates
  • To maintain legal tracker

Treasury and Fund Raising Activities:

  • To co-ordinate with various banks for Credit facilities viz. Credit Facilities and Bank
  • Guarantees and ensure timely compliance with the stipulations.

Qualifications:

B.Com, ACS, LLB.

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

Interested candidates can send resume on