Company Trustee officer
- AMC
- 4 - 9 years
- Mumbai
- 2 months ago
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Job Description
Designation
Company Trustee Officer
Location
Corporate Office Mumbai
Reporting to
Board of Trustee
Experience
5+ Years
Qualification
M.com/CA/CS/MBA/PG
We have grown in both Organic and Non Organic way; We have acquired the companies in Non
Banking Finance space, Wealth Management space, Equity Broking space and also Insurance Distribution in last few years.
We have come a long way. Each passing year we keep widening our service portfolio to keep pace with technological progress.
Why Join Us?
- Opportunity to play a critical role in financial governance and investor protection.
- Work with a upcoming AMC and gain exposure to regulatory compliance & risk management.
- Competitive salary package and growth opportunities in the financial services industry.
Job Profile:
The Trustee Officer plays a key role in overseeing the activities of an Asset Management Company (AMC) to ensure compliance with regulatory frameworks and investor protection. The role involves governance, risk management, compliance monitoring, and ensuring that the AMC operates in the best interests of investors.
This role is also responsible to prepare agenda, draft minutes, file-e forms, and actively comply with all the applicable laws of Companies Act for Trustee Company.
Key Responsibilities:
To help/assist the Trustees in monitoring of the Rights and Obligations under Regulation 18(25) of the SEBI (MF) Regulations, 1996 which is as follows:
Compliance & Regulatory Oversight
1. Ensure the AMC adheres to regulatory guidelines set by SEBI and other Regulatory body.
2. Review fund operations to verify compliance with the approved scheme mandates.
3. Liaise with Regulatory authorities (SEBI) at various departments.
4. Report any non-compliance or governance issues to Board.
5. Update the Board on Regulatory changes in MF industry
Fund Performance & Governance
1. Monitor the investment decisions of fund managers to ensure they align with the funds objectives.
2. Assess financial statements, audit reports, and fund disclosures for accuracy and transparency.
3. Approve changes in investment policies, fund structures, or key operational procedures.
Risk & Audit Management
1. Conduct periodic reviews of fund operations to detect risks or irregularities.
2. Coordinate with auditors to ensure proper financial reporting and risk assessment.
3. Identify and mitigate potential conflicts of interest between fund managers and investors.
Investor Protection & Ethics
1. Ensure fair treatment of investors and prevent mismanagement or fraud.
2. Monitor fund disclosures to ensure transparency and accuracy in communication with investors.
3. Address investor grievances and escalate issues as necessary.
Stakeholder Communication & Reporting
1. Provide periodic reports to the Board of Trustees regarding fund operations and compliance.
2. Collaborate with internal teams, regulators, and external auditors for smooth governance.
3. Maintain proper documentation and records of compliance, fund approvals, and audit findings.
Other
1. Handle Company Secretarial work for Trustee Company.
2. Ensure Audit are conducted on time for AMC and Trustee Company as required by different Regulations.
3. Drafting of Internal Policies for operation of AMC.
4. Liaise with Auditor, CA firms and other units for required certification.
Qualifications & Experience:
1. CA/CS or Masters degree in Finance, Accounting, Business Administration, or Law.
2. 5+ years of experience in trustee operations, compliance, risk management, or fund governance within the financial sector.
3. Strong knowledge of SEBI MF regulations, investment fund structures, and governance practices.
4. Experience in auditing, legal compliance, or financial risk assessment is preferred.
5. Proficiency in MS Office, financial reporting tools, and regulatory compliance software.
Key Skills:
Strong analytical and problem-solving skills.
Excellent knowledge of regulatory and compliance frameworks.
Ability to review and interpret financial statements and investment reports.
Strong communication and stakeholder management skills.
Attention to detail and ethical decision-making.
If you're an experienced compliance or governance professional passionate about ensuring transparency and ethical fund management, we invite you to apply!
Job Classification
Industry: Financial Services (Asset Management)Functional Area / Department: Risk Management & Compliance, Role Category: BusinessRole: Business - OtherEmployement Type: Full timeContact Details:
Company: AMCLocation(s): Mumbai
Keyskills: trustee Compliance AMC risk managemnt Governance Trustee Activities SEBI
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