Compliance Company Secretary - Mumbai, Maharashtra, India - Arin Consultancy

Arin Consultancy

Verified Company

Mumbai, Maharashtra, India

2 weeks ago

Posted by:

Deepika Kaur

beBee Recuiter

Description

Legal / Law Mumbai _Mumbai_ February 21, February 21, 2025 Financial Services

Job Overview:

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Office Location (Area) Mumbai
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Required Education Post Graduate, CS, LLB or equivalent
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Course Type Full Time
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Min Required Experience (Years) 7
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Max Required Experience (Years) 8

Job Description for Compliance cum Company Secretary

(PMS, AIF and Investment Advisory activities)

Legal Work

Handling all matters related with Legal affairs including arbitration, courts & reply on third party notices
Initiating, drafting, updating & regular checking of Clients agreements / declarations / submissions related with AIF, PMS & RIA Clients.
Initiating, drafting, updating & regular checking of Distributor agreements, custom amendments thereof and closure of custom agreements in liaison with counter party
Drafting, vetting, negotiating and executing various commercial/business contracts and agreements, NDA.

Regulatory Work (SEBI)

Preparation and review of various policies under Portfolio Managers Regulations, AIF Regulations, RIA Regulations, KYC Regulations, SAST Regulations
Preparation, updation and timely review of Compliance manual, Checklist, Tracking and reporting.
Initiating, drafting, checking & Filing Monthly/Quarterly/Half Yearly/ Yearly submission to SEBI.
Preparing & updating data on Company Website as per the requirement of SEBI/RBI/MCA.
Initiating, drafting, checking & submission of changes in Scheme document like PPM and Disclosure Document.
Preparing & implementing requirement related with Cybersecurity coordination with IT/Operational team
Coordination and Liaising with RTA, internal auditors, Legal consultants, Merchant Banker for various matters & completing all related compliances.
Coordination and Liaising with Tax Consultants for periodical NRI related regulatory needs, data preparation & submission (PFIC, K1)
Handling all mattes related with Insider Trading related regulatory work (e.g. Staff related Quarterly Disclosures, Verification & making relevant reports)
Preparing & implementing requirement related with benchmarking of disclosure standards of performance data with CRISIL/equivalent agency.
FATCA reporting preparing file of US & NON US clients as per FATCA guidelines
Coordinating with Inspection officials as and when needed
Coordination with AIF Trustees for all matters related with AIF Compliances
Maintaining tracker for monitoring overall Compliance from RBI/MCA/SEBI circulars & ensuring timely compliance by taking appropriate actions
Training Operation/onboarding/Sales team about all regulatory matters from time to time.
Application / Renewal of registration with SEBI
Communicating and liaisoning with regulators, auditors, consultants etc.

RBI / PMLA Compliances

Proactive approach to Keep up to date with any regulatory or statutory changes and policies related with our activities.
Timely Filing of RBI / FEMA / PMLS related returns/reports, if any

Secretarial Work

Allotment of securities & filing of returns with ROC and issuance of share certificates, as and when
Handling all matters related with Incorporation of Company, Trust, LLP etc. as and when
Preparing & finalizing Board & AGM agenda, draft resolutions, minutes, conveying decisions, handling correspondence related to it.
Ensuring timely preparation and submission of all periodical & annual filling related documents, returns and resolution with MCA.
Preparing resolutions & updating minutes & minutes book related with Board, AGM, SGM meetings etc.
Maintaining all registers as required by Companies Act, 2013 in liaison with CS Consultant
Undertaking Annual exercise about Secretarial Compliance

Misc.

Handling matters related with ESOPs, ESOP Policy
Assisting management for project specific work e.g. IFSC
7 to 8 years' of recent experience with a Portfolio Manager, Alternative Investment Fund
Fluency in English language
Good drafting & articulation skill
Advanced knowledge of Word, Excel
Good network with other fellow professionals

Expected Qualification:

Post Graduate, CS, LLB or equivalent