Overview
CS Compulsory
JOB PURPOSE :
The Company Secretary will be responsible for maintaining corporate records, compliance with SEBI and other regulatory authorities, corporate governance, and facilitating smooth operation of the company’s boards and committees, with a particular focus on the AIF and PMS businesses.
JOB RESPONSIBILITIES :
Corporate Governance & Compliance:
– Ensure adherence to corporate governance standards, relevant provisions of the Companies Act,2013, and SEBI regulations, including PMS, AIF, and mutual fund regulations.
– Advise the board and senior management on the implementation of best corporate governance practices, legal risks, and regulatory developments.
– Oversee compliance with SEBI (PMS)Regulations, SEBI (AIF)Regulations, and other applicable regulations to ensure proper conduct of the business.
Regulatory Filings& Documentation:
– Ensure timely and accurate filings with regulatory authorities such as SEBI, Registrar of Companies (RoC), and other statutory bodies.
– Maintain up-to-date statutory records such as registers of members, directors, board resolutions, and others as per applicable regulations.
– Ensure compliance with ongoing reporting requirements for PMS and AIF offerings, including fund disclosures and filings.
– Manage regulatory filings for AIF funds, including filings related to fund launch, investment activities, and investor reporting.
Board &Shareholder Management:
– Organize and manage board meetings, AGMs, and other shareholder meetings, including preparing agendas, notices, minutes, and resolutions.
– Ensure that all regulatory and compliance-related decisions are appropriately captured and documented.
– Serve as the liaison between the board, investors, and external stakeholders, providing updates on regulatory developments and compliance status.
Investor Communication & Relations:
– Ensure transparent and compliant communication with investors of PMS and AIF products, including the preparation of periodic reports, NAV disclosures, performance updates, and other investor communications.
– Address investor grievances and manage escalations in line with the regulatory guidelines.
– Oversee compliance with SEBI’s AIF and PMS disclosure requirements and ensure that all necessary – information is disseminated to investors in a timely manner.
Legal &Risk Management:
– Provide legal advice on structuring and setting up PMS and AIF funds, ensuring compliance with SEBI guidelines and other regulations.
– Provide legal advice on structuring and setting up PMS and AIF funds, ensuring compliance with SEBI guidelines and other regulations.
– Assist in drafting, reviewing, and negotiating fund documents, contracts, and investment agreements related to PMS and AIF.
– Ensure proper legal and compliance checks for new products, strategies, and investment vehicles.
– Work with legal advisors to address and manage potential legal risks related to portfolio management and investment activities.
Compliance with AIF & PMS Regulations:
– Ensure that the company’s PMS and AIF offerings are structured and operated in accordance with the applicable SEBI Regulations.
– Monitor the regulatory requirements for PMS clients, including documentation, reporting, and compliance with AIF regulations.
– Oversee the preparation of compliance reports for PMS clients and the filing of annual statements with SEBI as per applicable guidelines.
Internal Control &Audit:
– Coordinate with internal and external auditors to facilitate audit processes, ensuring compliance with financial reporting and internal control mechanisms.
– Implement and monitor policies and procedures to safeguard the company’s interests and maintain robust compliance processes across PMS and AIF operations.
– Assist in internal audits to ensure that all operations and transactions are conducted in accordance with legal and regulatory frameworks.
Regulatory Liaisons:
– Act as the primary point of contact for SEBI, RBI, and other regulatory bodies for matters related to PMS, AIF, and other investment-related activities.
– Keep abreast of changes in regulations concerning PMS and AIF and provide updates and guidance to the management team.
– Prepare submissions to SEBI and other regulatory authorities related to fund-related approvals, – renewals, and any other regulatory filings.
Corporate Secretarial Functions:
– Ensure compliance with all statutory requirements for company formation, governance, and operations.
– Maintain the company’s statutory books and records, including resolutions, minutes, and declarations, ensuring compliance with the Companies Act and relevant regulations.
– Facilitate smooth operation of the company’s secretarial functions, including managing internal and external communication.
Educational Qualification:
– Qualified Company Secretary (ACS) from the Institute of Company Secretaries of India (ICSI).
– A degree in Law (LLB)or equivalent qualification is preferred.
Experience:
– Minimum 8-10years of experience in company secretarial roles, preferably within an Asset Management Company, PMS, or AIF industry
– In-depth knowledge of SEBI regulations, particularly those governing PMS and AIF.
– Prior experience in regulatory compliance, legal advisory, and governance, including managing AIF funds and PMS portfolios.
Seniority Level – Mid-Senior level
Industry – Capital Markets,Investment Banking,Financial Services
Employment Type – Full-time
Job Functions – Legal ConsultingGeneral Business