Home | Jobs | Compliance & Secretarial | Asst. Manager - CS & Regulatory Compliance

24 Sep 2022


Asst. Manager - CS & Regulatory Compliance


4-5 Years

SEBI, Company Secretary, AIF compliance, Company Law, AMC, Secretarial compliance, PMs operations, Companies Act

Job Description

Position : Asst. Manager - CS & Regulatory Compliance
Qualification : CS with LLB would be advantage
Experience : 2 to 5 years of relevant experience
Location : Mumbai
Job Description
  • Liaoning and co-ordinating with Regulator for IA, PMS, Wealth, AIF compliance and queries.
  • Co-ordinating with counsels for legal support, opinions and clarifications.
  • Liaoning with product and sales team on products and filings.
  • Preparation / Up-dation of Private Placement Memorandum and amendments including Trust Deed
  • Review of Application Form, literature, fact-sheets, communiques and communications
  • Regulatory reporting - Filings monthly / Quarterly report reports, annual CTR
  • Liasoning for deal closure for unlisted equity transactions, Due Diligence submissions
  • Monitoring of AML / FATCA compliance and its reporting
  • Conducting and arranging Committee meetings - valuation committee, investment committee
  • Liasoning with Internal auditors and statutory auditors and effectively handling SEBI inspections
  • Compliance with SEBI procedures (in assistance with external support)
  • Preparation and filing of reports with SEBI as required
  • Co-ordinating audits with external vendors that need to be submitted to SEBI
  • Regular follow up on changes in SEBI regulations w.r.t compliances (if any)
  • Working with Company Secretary to ensure Compliance with ROC procedures
Essential skills:
  • Strong understanding of accounting standards a must along with Taxation and Company law. 
  • Must have ability to interpret financial statements, annual reports and arrive at logical conclusion.
  • In depth knowledge of taxation laws, SEBI rules and other laws impacting listed entities will be an additional advantage.
  • Good spreadsheet skills and other MS office applications.
  • Strong interpretation, problem solving and communication skills.
  • Diligence, hard work, be proactive and willingness to stretch.

24 September 2022


Subscribe Now