AVP Compliance - Legal

PeopleTree HR Services Pvt Ltd
  • Mumbai
  • 12-20 lakh
  • 10-20 years
  • Views
  • 15 Jul 2019

  • Others

  • Banking - Retail
Job Description

Job Responsibilities: for overall Compliance, Legal and Corporate Secretarial functions of AMC and Trustee Company.

Responsible for compliance under SEBI Regulations, Corporate Laws, etc. for Mutual Fund

Supervising various Compliances as per SEBI Regulations on day-to-day basis, internal compliance systems, etc.

Drafting of SID/SAI, Compliance Manual, etc.

Interacting with the statutory authorities for approvals & clarifications​

Arrangements for Board Meetings, Committee meetings.

Compliances with PMLA guidelines, etc.

Drafting and Vetting of various distributor, office agreements, redressal of investor grievances, etc.

Drafting minutes of AMC and Trustee Company

Reporting of compliances to SEBI, ROC, RBI, etc.

Generation of MIS and reporting to top level management

Handling of Statutory Audit, SEBI Audit, Internal Audit, etc.

Checking of Compliance limits as per SEBI Regulations

Liasoning with the auditors on compliance issues

Providing compliance updates to various departments

Monitoring & reporting of compliances relating to investors servicing to statutory authorities

Approving advertisements for marketing dept.

Ensure that the guidelines are adhered to for introduction of new schemes, change in load structure based on recommendations from marketing and sales.

SEBI guidelines adherence for Offer documents both external (SEBI, Custodians) and internal (Sales, Fund Managers, Operations )

Ensure that all employees adhere to the SEBI guidelines.


About Organisation

PeopleTree HR Services Pvt Ltd