Manager - Compliance - Mutual Fund/Asset Management Firm - CS/LLB

QLFN - CS / LLB

Industry Preference - Mutual Fund / Asset Management
 
Job Profile :

Compliance Functions :

- 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 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.