Company Secretary - Broking Firm (10-18 yrs)

Job Description : We are looking for a role of Company Secretary for a Broking company in Mumbai

We are looking from Securities or AMC

RBI/ NHB Compliances:

- Ensured compliance related to Digital Lending Procuring prior approval from the RBI/NHB for various purposes. Managing the filing of various Returns (Regular & Refinance) with RBI/NHB.

- Handling intimation and submissions in accordance with RBI/NHB Circulars, adhering to applicable regulations.

- Drafting policies aligned with RBI/NHB guidelines. Contributing to transactions involving the sale of NPAs to Asset Reconstruction Companies (ARCs) and the acquisition of Loan portfolios through Direct Assignment. Playing an active role in the process of availing refinance facilities from NHB.

- Represented the organization in RBI inspections and audits. Conducted regular internal audits to ensure ongoing compliance with RBI regulations, identifying areas for improvement and implementing corrective actions as necessary.

Company Law Compliances:

- Facilitated company incorporation, ensuring legal compliance.

- Managed fundraising activities via equity, debt, and ECB channels.

- Oversaw Board & Committee meeting compliance, including agenda & Minutes preparation.

- Drafted Board's Reports, Corporate Governance Reports, and AGM/Postal Ballot Notices.

- Handled pre/post AGM/Postal Ballot formalities efficiently. Managed ESOP related activities and ensured compliance. Ensured compliance with CSR activities.

- Managed event-based compliance like Registered office shifts, name/object changes.

- Filed various e-Forms with ROC, including event-based and annual filing.

- Maintained Secretarial Records and Statutory Registers.

SEBI Compliances:

- Handling compliances as per SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015.

- Handling compliances as per SEBI (Issue and Listing of Debt Securities) Regulations, 2008. Handling compliances as per SEBI (Prohibition of Insider Trading Regulations), 2015.

- Assisted in Preferential Issue of equity shares as per the provisions of the SEBI (Issue of Capital and Disclosure Requirements) Regulations, 2018.

- Understanding of compliances under SEBI (Portfolio Managers) Regulations, 1993.

Legal Assignment:

- Proficient in drafting and vetting Service Level Agreements, Borrowing agreements, Debenture Trust Deeds, Debenture Trustee Agreements, Assignment Agreements, Deeds of Hypothecation, etc.

- Skilled in drafting Affidavits and Powers of Attorney, ensuring legal accuracy and compliance with relevant regulations.

Others:

- Actively involved in transaction for availing ECB of USD 50 mn from US DFC.

- Ensuring all reporting compliances related to ECB availed from US DFC.

- Developed Structured Digital Database (SDD) software as Required under SEBI Insider Trading Regulations.

- Developed Board Meeting application for online circulation of Agenda and Minutes.