Compliance Manager

2 weeks ago

Mumbai, India The Premier Consultants ( Recruitment Company ) Full time
Opening with a Leading Asset Servicing Firm
Role : Compliance Manager
Location : Mumbai
Experience : Minimum 5 years
Working Days : 5 Days
Job Description:
Ensuring compliances with IFSCA, SEZ and SEBI AIF, Ancillary Services, PMS Guidelines and Regulations, FEMA, Anti Money Laundering laws and assisting on KYC requirements under the legislations and ensuring that the procedures are followed and regularly reviewed.
Ensuring secretarial compliances under the Companies Act, 2013 and such other statutes, regulations and guidelines as required and developing good corporate governance practices for the companies. Arranging board/general meetings and preparing minutes thereof.
Follow-up on matters where required to ensure compliance.
Maintenance of secretarial records, statutory books and registers and handling statutory & internal audits.
Responding to inspections, regulatory and audit queries as the principal point of contact. Preparation, filing and registering forms, returns, applications or other documentation as required by and on behalf of the companies with Special Economic Zone Authorities, IFSCA SEBI, RBI or other regulatory authorities.
Handling special assignments relating to Business initiatives to the extent impacting Compliance and Legal affairs. Implementing compliance policies and procedures.
Conducting compliance training for the employees. Draft, review, negotiate, execute contracts, Non-Disclosure Agreements, Master Service Agreements, Statement of Works, Licensing Agreements, and other legal documents pertaining to the company and the client companies.
Drafting and standardizing all legal documents of business and all other documents relating to the company.
Provide legal solutions / remedies to the Business Teams to mitigate the risk involved in the business transactions Ability to Liaise with Regulatory and SEZ authorities as and when required.
Interested candidates can share updated CV on
#AIF #PMS #SEBI #SEZ #compliance #compliancemanager #regulatory #IFSCA #audit #draft #review #negotiate #execute #contracts #compliancepolicies #PMSGuidelines #legal #NDA #companysecretory #companysecretarialwork

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