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Senior Manager - Secretarial Compliance

Mumbai, MH
Job Code:
  • Banking & Finance
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Job Details

CompliancePreparation of various reports e.g. (Compliance Test Report, Exception Report, Bimonthly Compliance Report, Half yearly Reports etc.)Preparation of Notices and Addendums.Preparation of New Scheme Report and filing the same with SEBI.Correspondence with SEBI.Vetting of various marketing literature/advertisements/write ups etc.Generation of various reports from M fund/MF explorer required forCTR/Half yearly and Bi-monthly. Employee dealing policy.Updating details onAMFI/ SEBI/ Ministry of Corporate Affairs Portals.Coordination with the internal departments e.g. Investments, risks, operation,customer service etc, CAMS and Internal Auditors for day today routine compliances.Listing of Units and activation of ISIN.Reporting under SEBI (Acquisition of Shares & Takeovers) Regulations, 1997 (5%) & SEBI (Prohibition of Insider Trading) Regulations, 1992 (2%).Renewal of Certificate of Registration for Portfolio Management Services pursuant to SEBI (Portfolio Managers) Regulations, 1993.Working on Suspicious Transaction Report which will be filed to Fraud Investigation Unit, India,New Delhi. (FIU-IND) Company Secretarial WorkHandling of various Secretarial work under Companies Act, 1956Preparation of Board Memorandum, Notes, Letters, Circular Resolutions and Resolutions for Asset Management and Trustee Company.Notices to Directors and members convening for the Board meetings, Audit Committee Meetings, Committee of Directors, Extra Ordinary General Meeting and Annual General meeting for Asset Management Company and Trustee Company.Preparation of Statutory Registers e.g. Members Registers, Shareholders Register and Directors register.Issuance of shares to the Directors of AMCas well as the Trustee Company pursuant to Sec 187 C of the Companies Act, 1956.Completion of the Procedure for the appointment of Directors both on the Board of AMCas well as the Trustee Company as per the Companies Act, 1956 and SEBI Regulations.Filing of Annual Returns and Accounts with the Registrar of Companies.Filing of the Court Orders with Registrar of the Companies.Resolved the issue pertaining to IT with regard to the Digital Signatures of the Managing Director.E Filing of Returns and Forms e.g Form 32, 20B, 23 AC, 23 ACA, 21, 22B etc. Assistance to Company Secretary/ Compliance Officer for achieving the over all departmental goals
Degree: CA (Chartered Accountant)

Additional Degree: BA (Arts) | B.Com. (Commerce) | B.Pharm. (Pharmacy) | B.Plan. (Planning) | B.Sc. (Science) | BBA/ BBM/ BBS | BCA (Computer Application) | Diploma-Other Diploma | B.Ed. (Education) | BHM (Hotel Management)

Experience: 3-4


Audit & Risk | Company Secretary
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