Compliance Risk & Trustee Officer-Company Secretary-5-10-BKC Mumbai

Role : Compliance Risk & Trustee Officer-Company Secretary

Experience : 5 to 10 years

Qualification : LLB,CS

Location : BKC Mumbai

Job Description :-

Support the Trustee Company and AMC in complying with SEBI (Mutual Fund)

Regulations, securities and corporate laws, and internal governance frameworks, and to

assist Trustees in discharging fiduciary and regulatory oversight responsibilities.

This role is designed for Company Secretaries or LLB-qualified professionals with

experience in financial services regulation, governance and compliance.

Key Responsibilities:-

Monitor compliance with SEBI MF Regulations, circulars, Companies Act

and securities laws.

Track regulatory changes and assess impact on Trustee and AMC

obligations.

Support Trustee Board on governance, fiduciary duties, conflicts of interest

and investor protection.

Prepare agenda notes, compliance summaries and governance updates for

Trustee meetings.

Assist in monitoring regulatory, operational and reputational risks, track

breaches and escalations.

Coordinate statutory, SEBI, internal, system and cyber audits, track closure

of observations.

Prepare and review regulatory filings, Trustee reports and unitholder

disclosures.

Liaise with AMC Compliance, Risk, Legal, Operations, auditors and

regulators.