Job Title : Company Secretary and Compliance Manager – Financial Service Industry – Mumbai
Our Client is a part of one of Asia’s largest wealth management fintech platforms. In 2000, the company was founded and since then headquartered in Singapore They are listed on the Singapore Stock Exchange since 2014. The group provides a comprehensive range of investment products and services to financial advisory firms, financial institutions, banks, multinational companies, as well as retail and high net worth investors in Asia.
They have presence in five markets across Asia, including Hong Kong, Malaysia, India and China. our Client offers an online mutual funds distribution platform for retail investors as well as independent financial advisers in India. Some of the services provided include in-house research and global perspectives, access to expert opinions from the industry and more importantly, an online account allowing them to invest in mutual funds.
Job Responsibilities :
Compliance responsibilities :
– Providing compliance/ legal solutions and opinion to the Management and making processes and systems seamless without exposing the Organization Compliance risks
– Ensure compliances, timely filings, submissions etc applicable to the Company under various Licenses including but not limited to compliances under the SEBI (Stock Brokers and sub-Brokers) Regulations, 1992, exchange rules, circulars, bye laws etc, SEBI (Mutual Funds) Regulations, 1996, SEBI (Depositories and Participants) Regulations, 2018, SEBI (Investment Advisers) Regulations, 2013, SEBI (Prohibition of Insider Trading) Regulations, Prevention of Anti Money Laundering Act, 2002 (PMLA – AML and CFT), Know Your Customer Guidelines(KYC, e-KYC, C-KYC) and amendments thereof.
– Update the Management and other Process Owners about amendments in applicable laws or new Laws applicable to the Company, Circulars issued by SEBI/Depositories/Exchanges from time to time along with action required to ensure compliances with the amended/new laws
– Liaising with various regulators, industry associations, legal counsels of the company and Government departments (SEBI, AMFI, Reserve Bank of India, Registrar of Companies, FIPB etc.)
– Handling Concurrent, Internal and External audits, Inspections by SEBI/Depositories/ Exchanges or any other bodies.
– Co-ordination with Statutory, Internal & Secretarial Auditors
– Suggest actions for rectification/ improvements regarding non- compliances/ processes and implement & maintain a process for control and follow up of rectification, corrective action
– Timely resolution to the Compliance queries raised by various functions/departments.
– Contribute to the long term business strategies and plans and annual business plans
– Handling Investor Grievances as per regulatory guidelines
– Reviewing & updating the Company forms, Process notes, Website and other internal documents in line with applicable regulations
– Liaising with Exchanges, Depositories for routine matters
– Any other compliance matters as assigned from time to time
Secretarial & Legal Responsibilities :
– Ensuring compliance with the provisions of the Companies Act, 1956/ 2013 and amendments therein, Foreign Exchange Management Act, 1999, Stamps Act, SEBI Rules, RBI norms for the Company and its Group Companies and such other regulations that might apply be applicable to Companies operating in the financial services sector
– Managing all aspects of Board, Committee, Shareholders meetings for the Company and its Group Companies including but not limited to preparation and consolidation of Board Packs (Agenda Papers), preparation of minutes and circulation of action items for the next board meeting;
– Manage all aspects of Capital Infusion and Fund raising activities and share matching exercise;
– Maintenance and updation of statutory registers and records
– Convening meetings of the Board of Directors, committees / meetings of the industry aimed at bringing in new legislations / amending existing legislations and lead such discussions.
– Drafting, Vetting, Negotiation and Execution of various legal documents like agreements, MOUs, POAs, Legal Notices, undertakings etc;
– Any other legal and secretarial matters as assigned from time to time
Key Skills :
– Excellent command of spoken and written English.
– High quality communication skills and have good influencing capabilities
– Excellent interpersonal and communication skills, both verbal and written
– Client-oriented, pleasant, meticulous and obliging disposition
– Outspoken, initiative, self-motivated and client centric
– Flexible and ability to prioritize tasks and manage multiple tasks at single instance within compressed times
– Should be a quick learner, proactive and be highly business focused
Mandatory : Foreign Exchange Management Act, 1999, Stamps Act, SEBI Rules, RBI norms for the Company
– Experience in legal and secretarial functions
– IA regulations
– SEBI investment advisor regulation
Age : 33 to 38 years
Industry : BFSI
Gender : Male only
Experience : Should possess 6-10 years of experience in legal and secretarial functions
Job Location : Goregaon, East, Mumbai
Working Days : 5 days
Qualification : CS
CTC : Upto 18LPA
Notice Period : Immediate to 30 days