Compliance Officer

Job Details:

Designation Deputy manager / Manager

Experience – 8 – 14 years of experience in Compliances Department (Should have worked with a listed company)

Education – Certified Company Secretary

Job Responsibilities:

• Well versed with the SEBI LODR and must have handled the compliances for the listed entity.
• Well versed with the SEBI Insider Trading regulations and have doe compliances for the same.
• Independently able to handle the compliances under companies act for the 30-40 subsidiary/ group companies
• Should have done activities like rights issue of shares, issue of debentures etc.
• Conducting Board/ committee meetings and interacting with the directors and other stakeholders.
• Handling Corporate and Secretarial compliances.
• Involved in Fund raising activities.
• Handling SPVs.
• Regularly auditing business procedures and processes to ensure compliance.
• Establishing and carrying out training programs to ensure employees are aware of the laws and regulations they need to adhere to.
• Investigating potential violations and incidents to find gaps in compliance strategies.
• Advising management on compliance matters and business operations relating to investment, risks, and policy development.
• Liaising with regulators and industry bodies to keep up to date with regulatory changes.
• Assessing the business's future ventures to identify possible compliance risks.
• Reviewing marketing materials for compliance with legal requirements.
• Participating in educational opportunities, reading professional publications, and participating in professional organizations.
• Dealing with internal and external stakeholders in regard to the compliances.