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PPFAS - Manager - Secretarial & Compliance
3 weeks ago
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
- Co-ordinating with various inter-departments 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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