Secretarial & Compliance Manager

Roles & Responsibility:

Secretarial:

• Manage routine corporate actions - Increase in Share Capital, Private Placement, Rights Issue, all periodic / Annual Filings under Companies Act
• Submission of various E-forms
• Manage routine procedures on appointment / resignation of directors, KMP
• Manage all compliances relating to NCD issuances and Listing
• Preparation of all secretarial documentation (Agenda & Minutes) relating to Board and various Committee meetings
• Assist the department head in holding of Board and Committee meetings
• Monitor regulatory developments and circulate relevant aspects applicable to the NBFC
• Maintenance of statutory registers and records
• Liaison with regulators (RBI, MCA, ROC, FIU), external and internal auditors

Compliance:

• Ensure NBFC is adhering to all regulations prescribed by RBI for NBFCs
• Ensure compliance with other applicable regulations on anti-money laundering, cash handling, etc
• Track compliance under other applicable laws in close co-ordination with other departments such as HR for labour laws, Finance for tax laws, etc
• Work closely with other departments for having policy framework for all major activities of the NBFC as required under the law and review the policies at relevant intervals
• Manage website disclosures as required under Companies Act, SEBI LODR and other applicable laws

Legal:

• Drafting of Agreements with vendors/contractors, Lease Deeds, NOC and other routine legal correspondence.
• Maintenance of records of all legal documents
• Drafting of legal notice and reply on routine business matters