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| Job Location | Navi Mumbai |
| Education | Not Mentioned |
| Salary | Rs 8 - 12 Lakh/Yr |
| Industry | NBFC ( Non Banking Financial Services ) |
| Functional Area | Risk / Underwriting |
| EmploymentType | Full-time |
Compliance FunctionsTo 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 & noticesTo 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 RegulationsTo report Fraud cases with SEBI;AMFTo overlook compliance of other Laws applicable to MF like PMLA, FATF reportingMutual 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 FunctionActivities relating to Board and Board Committee Meetings:To prepare and circulate agenda and ensure other arrangements pertaining to the Board meetings;To prepare notices, directors 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 the tune of Rs. 1,000 Crores;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 ExposureTo 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 AdvocatesTo maintain legal trackerTreasury and Fund Raising ActivitiesTo co-ordinate with various banks for Credit facilities viz. Credit Facilities and BankGuarantees and ensure timely compliance with the stipulations.
Keyskills :
manualfund raisingannual returnsanti money launderingfilingcreditformsnon-disclosure agreementsriskxbrllisting agreementfraudannual reportsmutual fundsdesignrbiinformation technologyamfirisk managementcompliance functions