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Renowned AMC, 3-4yrs exp, AM/Manager, Compliance & Secretarial

  • Mumbai

Job ID : 1976

About Company

Since its establishment in 1992, the boutique investment advisory firm has emerged as a trailblazer among SEBI Registered Portfolio Management Service (PMS) providers in India.

The company's enduring legacy and unwavering commitment to excellence form the bedrock of its identity, and they are proud to distinguish itself through a unique approach to asset management.

Notably, the Total Assets under Management (AUM) of AMC currently stands at ₹49.8K Cr, representing a significant 1% share of the total AUM collectively managed by 57 other asset management companies in the country.

This milestone underscores our substantial presence in the industry and reflects our dedication to delivering exceptional value to our clients through thoughtful and strategic investment practices.

Job Description

Roles & Responsibilities:

  • To ensure timely compliance with the requirements of SEBI (Mutual Fund) Regulations;
  • To review and update on regularly basis Compliance Manual and other policies;
  • To conduct compliance awareness sessions on Insider Trading,etc;
  • To ensure Compliance provision of RBI Act, Foreign Direct Investment norms; AMFI Circulars & notices
  • To maintain and update of compliance tracker/ RBI Act and other applicable regulations;AMFI Regulations
  • Mutual Fund Reporting (Daily/Monthly/Bi-Monthly/Quarterly/Half yearly/Yearly) as per SEBI/RBI/PMLA guidelines/regulations.
  • To Interpret the various Circulars of SEBI, AMFI,RBI and other regulators and decide on course forward for implementation of the same.
  • Having knowledge of PMLA Regulations and Anti Money Laundering rules
  • To coordinate with Internal Auditors, Statutory Auditors, SEBI Auditors;
  • To maintain cordial relations with the regulators;
  • Preparation of Board Agenda, Committee Agenda, and Minutes of the Meetings, To prepare notices, director’s report, and minutes for the Board and General meetings;
  • Preparation and periodic updation of Scheme Information Documents
  • Review of Half yearly and annual scheme reports/portfolio
  • Co-ordinating with various inter-departments on Regulatory Requirements
  • Well versed with Clearing Marketing materials under Advertisement Code
  • Maintaining Statutory registers and records and ensure timely filing of Annual reports, XBRL filings, Annual Returns and other forms with MCA.
  • Monitoring the activities of the Company in a proactive manner to detect and prevent potential breaches of compliance

Ideal candidate:

  • 3 to 5 Years of Work Experience in Mutual Fund Industry/AMC
  • Well versed with SEBI (MF) Regulations
  • Experience of working in AMC

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Education Qualification

  • Qualified CS (Company Secretary)

Job Type

Full Time


  • No. Of Vacancy

  • Offered Salary

    12 - 15 Lac
  • Experience

  • Industry

    Investment Bank (IB)

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