Compliance Role - NBFC (5-10 yrs)

Compliance Role

Roles & responsibilities:

Lead contributor of Secretarial team in handling Board, Committee and Shareholders' meeting, drafting resolutions, agenda, and minutes. Responsible for day to day regulatory (Companies Act, SEBI debt regulations and RBI regulations) compliances, filings of forms/returns (with MCA, Stock Exchanges, RBI), all Companies Act compliances, secretarial audit and maintenance of statutory records etc.

1. Ensure compliances under Companies Act, RBI guidelines for NBFC and SEBI debt regulations.

2. Coordinating and conducting Board and Committee Meetings, AGM, EGM and Postal Ballot.

3. Drafting of Annual Report, Resolution, Notice, Agenda and Minutes of the Board and Statutory Committee Meetings.

4. Maintaining statutory books, including registers of members, directors etc.

5. Liaising with external regulators and advisers, such as ROC, Stock Exchanges, RBI, auditors etc.

6. Developing and overseeing the processes that ensure the NBFC complies with all applicable statutory requirements.

7. Timely filing of applicable statutory documents/forms with the ROC / MCA /RBI etc.

8. Handling NCD/CP/other fundraising related compliances and liaise with regulators.

9. Information collation and submission for Due Diligence, Secretarial/Statutory/Internal Audits and query resolution.

10. Have sound knowledge of Companies Act, 2013, NBFC related RBI Compliances and SEBI debt regulation and monitoring changes therein.

11. Handling all other Secretarial related work.

DNA:

- We expect you to have higher energy, higher intellectual capability and a desire to handle bigger responsibilities than an average professional of your age/experience will generally do.

- We expect you to take a lot of initiative to do on-the-job learning about different financial instruments & products.

- We expect you to create a positive environment for your team and help your team members grow professionally as well.

- In the long run, if you do well, you can expect to create disproportionately higher value for yourself. Office location will be in Dadar, Mumbai. Candidates applying from cities other than Mumbai shall have a clear conviction about moving to Mumbai before applying. WFH only in case of exigency and not in routine course.