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.