Company Secretary & Compliance Officer (Asset Management Company)

A SEBI-registered Asset management company (AMC) managing a diverse portfolio of mutual fund schemes with a strong commitment to integrity, transparency, and regulatory excellence. As we scale our operations, we seek a detail-oriented and proactive Company Secretary & Compliance Officer to strengthen our governance framework and ensure adherence to all applicable laws and regulations.

Role Overview

The Company Secretary & Compliance Officer will serve as the key advisor on corporate governance, statutory compliance, and regulatory matters. This dual-role position combines the responsibilities of a Company Secretary under the Companies Act, 2013, and a Compliance Officer under SEBI (Mutual Funds) Regulations, 1996. The ideal candidate will ensure seamless coordination between the Board, regulators, and internal stakeholders while maintaining the highest standards of compliance and ethical conduct.

Key Responsibilities

Corporate Governance & Secretarial Functions:

• Act as the nodal officer for all matters .
• Organize and manage end-to-end processes for Board and Committee meetings (Audit, Risk, Nomination & Remuneration, etc.), including agenda preparation, minutes drafting, and follow-up on action items.
• Maintain statutory registers, records, and corporate documentation in compliance with legal requirements.
• Advise the Board and senior management on governance best practices, director responsibilities, and related-party transaction approvals.
• Conduct secretarial audits and coordinate with external auditors/regulators as needed.

Regulatory Compliance & Risk Oversight:

• Serve as the designated Compliance Officer for the AMC under SEBI Mutual Fund Regulations.
• Monitor, interpret, and implement changes in regulations issued by SEBI, RBI, MCA, FEMA, and other relevant authorities.
• Develop, update, and enforce internal compliance policies, manuals, and training programs.
• File periodic returns and disclosures with SEBI, AMFI, and other regulators.
• Coordinate with internal audit, legal, and risk teams to address compliance gaps and mitigate regulatory risks.
• Act as the primary liaison with SEBI, stock exchanges, depositories, and other regulatory bodies.

Stakeholder Coordination:

• Interface with Registrar & Transfer Agents (RTAs), custodians, trustees, and third-party service providers on compliance and governance matters.
• Support investor grievance redressal mechanisms in coordination with the Investor Services team.

Qualifications & Experience

• Mandatory: Associate or Fellow Member of the Institute of Company Secretaries of India (ICSI).
• Experience: Minimum 5 years of post-qualification experience in a regulated financial entity—preferably an asset management company, mutual fund, broking house, NBFC, bank, or similar institution.
• Regulatory Knowledge: In-depth understanding of SEBI (Mutual Funds) Regulations, Companies Act, 2013, LODR, FEMA, Prevention of Money Laundering Act (PMLA), and RBI guidelines (as applicable).
• Skills: Strong drafting, analytical, and communication abilities; high integrity; ability to work independently in a fast-paced environment.
• Location: Must be based in Mumbai or willing to relocate immediately.

Preferred Attributes

• Prior experience as a Compliance Officer in a SEBI-registered intermediary.
• Familiarity with AMFI guidelines and mutual fund operations.
• Knowledge of compliance management systems or GRC tools.

What We Offer

• Competitive compensation package aligned with industry standards.
• Opportunity to work at the intersection of governance and financial markets in a dynamic AMC.
• Professional growth in a values-driven organization committed to excellence.

Job Type: Full-time

Pay: ₹1,800,000.00 - ₹2,500,000.00 per year

Benefits:

• Health insurance

Application Question(s):

• What is your Notice period ?

Work Location: In person