Compliance Officer & Company Secretary

Company Overview

Company Overview not provided.

Job Summary

The Compliance Officer & Company Secretary role is crucial for ensuring that the organization adheres to all applicable laws and regulations, including those set forth by SEBI, AMFI, and other regulatory bodies. This position encompasses overseeing compliance activities, preparing reports, and maintaining statutory records, thus contributing to the overall governance and accountability of the organization.

Responsibilities

• Ensure full compliance with SEBI (Mutual Fund) Regulations, SEBI circulars, AMFI guidelines, Companies Act, FEMA, RBI norms, and other applicable laws.
• Monitor regulatory changes, issue internal advisories, and update compliance policies accordingly.
• Prepare and file statutory, periodic, and event-based regulatory reports with SEBI, AMFI, Trustees, and other regulators.
• Liaise with SEBI, AMFI, RBI, and other authorities on inspections and compliance queries.
• Act as Company Secretary and ensure compliance under the Companies Act, 2013 and corporate governance requirements.
• Maintain statutory records, secretarial books, registers, and filings.
• Support Trustees in their oversight responsibilities and present quarterly/annual compliance reports, breaches, and rectifications.
• Certify compliance statements for inclusion in financial and trustee reports.

Qualifications

• Strong understanding of SEBI regulations, AMFI guidelines, Companies Act, FEMA, and RBI norms.
• Excellent analytical and problem-solving skills.
• Strong communication skills, both written and verbal, to interact with regulatory bodies and internal stakeholders.
• Knowledge of corporate governance and compliance documentation.
• Relevant certifications in compliance or corporate governance (e.g., Company Secretary qualification).
• Degree in Law, Business Administration, or a related field.

Preferred Skills

• Familiarity with compliance management software and tools.
• Experience in risk management and compliance frameworks.
• Understanding of financial regulations and audit processes.

Experience

• Minimum of 5 years of experience in compliance and company secretarial roles, preferably within the financial services or mutual fund industry.

Environment

Work environment details not provided.

Salary

Salary information not provided.

Growth Opportunities

Growth opportunities within the company not provided.

Benefits

Benefits offered by the company not provided.