PPFAS - Manager - Secretarial & Compliance

3 weeks ago

Mumbai, 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

- 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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