Position: Sr. Manager/ Manager - Compliance & Legal Qualification: CS/ CA along with LLB (preferred) Experience: 4-5 Years (out of which minimum of 2-3 years shall be in the financial sector/ securities market (PMS, & AIF & MF) industry preferred] Reporting: VP Compliance Job Description: Key Skills - Excellent verbal and written communication. - In-depth knowledge of the Companies Act, 1956, SEBI Regulations on PMS, AIF and other guidelines, Foreign Exchange Management Act, Anti Money Laundering laws and KYC requirements. - Enthusiasm and drive to spearhead the compliance function of the company almost independently and under the guidance of the reporting manger wherever required. - Ability to drive the legal & secretarial function with required support from legal, secretarial consultants and under the guidance of the reporting manger wherever required. Role & Responsibilities of the Position in brief: - Ensuring compliances with SEBI Portfolio Manager, AIF and FPI Rules & Regulations, FEMA, Anti Money Laundering laws and KYC requirements and ensuring that the procedures are followed and regularly reviewed. - Ensuring secretarial compliances under the Companies Act, 1956 and such other statutes, regulations and guidelines as required and developing good corporate governance practices for the companies. Arranging board/general meetings and prepare minutes thereof. Follow-up on matters where required to ensure that the decisions of the board are implemented - 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 - Handling special assignment relating to Business initiatives to the extent impacting Compliance and Legal affairs. - Implementing compliance policies and procedures. Conducting compliance trainings for the employees - Monitoring personal account dealings of the employees - Assisting in fulfilling the registration and licensing requirements of the entities - Conducting compliance audits and helping in the Risk management - Conducting internal compliance review and monitoring activities, including periodic reviews of departments - Dealing with compliance queries raised by employees of various business divisions - Assist in developing global compliance practices and procedures

Mumbai

Senior Manager/Manager - Compliance & Legal - Financial Sector/Securities Market 

Job Description for Senior Manager/Manager - Compliance & Legal - Financial Sector/Securities Market  in The Recruiters in  Mumbai for (4-7) years of experience. Apply Now!