Associate Executive – Secretarial

Job Description

The Associate is an entry-level role. The role holder combines both learning and delivering of Secretarial low-to-medium complex processes and all related activities (except the review). The work of the Associate will be reviewed by the Associate Manager and/or the Manager depending whether 6-eyes review or 4-eyes review is required. All work delivered need to be accurate, well-presented and meet quality standards.

Tasks:

Carry out the following tasks or assist the Senior Associate in/with the:

• preparation of annual meeting for companies.
• preparation of board packs
• Appointment of Directors: seek approval including FSC approval where applicable; make fillings with ROC & FSC; update relevant registers and internal data management software (“Microgen 5Series”); notify all parties (banks/custodians/brokers)
• Resignation of Directors: draft resolution; make fillings with ROC & FSC ; update relevant registers and Microgen 5Series;; notify all parties (banks/custodians/brokers) o Change in Company Secretary and complete relevant corporate actions as may be required
• Change in Auditors: receive resignation letter of resigning auditor or/and letter of engagement for new auditor; draft resolution/minutes for approval of change; prepare FSC approval/notification letter or notify any other relevant stakeholder/Regulator of the change in auditors and update Microgen 5Series
• Change in bank signatories and mandate: Draft resolution for change in bank signatories, collate KYC/CDD and arrange for certification; prepare letter for notification to bank / custodian and Microgen 5Series; Ensure any relevant corporate actions as may be required for internet banking facilities.
• Change in registered office: Draft resolution for change in registered office, complete Form 21, prepare letter to ROC, copy FSC, and notification letter to relevant stakeholders i.e. banks / SEBI/ custodian / MRA and update Microgen 5Series;
• Application of current standing certificate;
• Application of certificate of good standing;
• Carry out AML & KYC/CDD checks on new directors, shareholders (up to beneficial owners), investors and investee companies and to escalate any gaps identified.
• Ensure that there is proper follow up on outstanding due diligence documents.
• Issue & redemption: draft all corporate actions document in order to process the issue and redemption of shares

Prepare the following tasks to be reviewed/approved by the Associate Manager and/or Manager:

• Payment process: prepare payment instructions and checklist; check bank balance; send instruction to bank and ensure payment is effected; send email confirmation to Associate Manager and/or Manager.
• Prepare Application or renewal TRC through Directors’ meeting or written resolution of directors, complete application form, payment, checklist and finance requisition form.
• For Issuance or transfer of shares, prepare the required form for approval by the Directors and FSC (where applicable). Prepare supporting document for filing with required authorities.
• For share pledge and/or release of pledge, prepare correspondence and relevant statutory form to ROC, FSC and Registrar General, then send to Principal for review & sign off. Update register of Pledge/Charges.
• Upon confirmation from the Associate Manager, prepare the letter and gather supporting document to process a resignation/appointment of an MLRO/DMLRO including seeking FSC approval and board approval;
• Application for trademark registration or BRN.
• Assist in the preparation of Annual Administrators Report, assessment reports with regard to AML/CFT, Code of Business Conduct, National Code of Corporate Governance Report, Business Risk Assessments, Client Risk Assessments or other required reports as may be put in place further to changes in regulations and follow up on Directors’ approval.
• Carry out any AML-CFT function, which is required under the Laws and Regulations of Mauritius.
• Dissolution / initiate liquidation procedures
• To update any internal compliance/risk tools available e.g. SERR

Review of Invoices generated for the companies administered in respective portfolio

• Application for renewal of FPI/FVCI licence (India)
• RBI & SEBI reporting for FVCI licence holders
• To provide assistance to Associate Manager/Manager on any inspection received from the Regulator.
• Perform other Secretarial related routine tasks including but not limited to securing signatures of relevant signatories on documents, assisting the Associate Manager/Manager in special assignments & projects.
• Update the relevant systems (5Series) & reports where applicable
• Update time sheets as required under the IQ EQ’s internal policies
• Update planning information (BiLLy) and submit to Associate Manager / Manager
• Flag client/service issues to Associate Manager / Manager before they become a complaint
• Ensure that all documentation/company’s records are duly scanned and saved on the document management software (“EazzyFiling”) and maintain on the Client’s File.
• Company’s physical files/documents are to be maintained in proper order in compacter/safe/filing cabinets.
• Ensure protection of information assets of IQ-EQ MU and to abide by the ISMS in place at IQ-EQ MU.

Key competencies for position and level

• Customer focus
• Communicates effectively
• Plans and aligns
• Interpersonal savvy
• Action orientated

Key behaviours we expect to see

In addition to demonstrating our Group Values (Authentic, Bold, and Collaborative), the role holder will be expected to demonstrate the following:

• Accuracy
• Attention to detail
• Collaboration
• Organisation
• Proactivity
• Relationship building
• Taking ownership

Deliverables (KPIs)

• On-time delivery
• Quality of work (errors or rework or complaints)
• % Personal chargeability