Company Secretary - BFSI

Business Area: Compliance, Legal & Secretarial

Functional Team: Compliance, Legal & Secretarial

Reporting to: Compliance Head & Whole-time Director

Position Description

Company Secretary - CS (Designated Company Secretary for a Group Company):

The CS must be a Member of ICSI and BGL / LLB qualified, with at least Six years experience as CS & compliance professional experience incorporating analysis and problem solving principles within a medium to large organization. Broking Industry experience is a must as is previous experience working in a multinational environment.

Critical to the position is strong interpersonal skills, and effective communication both verbal and written. The ability to lead a small team to achieve department and business finance demands is fundamental as is understanding protocol when interacting with management together with maintaining a high degree of sensitivity and confidentiality.

The ability to seamlessly engage with Global Compliance &Legal Functions, plan and prioritize workloads in order to meet deadlines is fundamental so too is effective time management of work flow in order to meet accounting deadlines. The ability to work without Management direction, use initiative and possess a positive attitude towards teamwork is critical

Job Responsibilities

Compliance

- Managing preparation of application to exchanges / SEBI for renewal of licenses, change in Directorships of the Company etc.

- Implementing regulatory & corporate compliances with SEBI and other Regulatory Authorities

- Coordinating for the various audits conducted by exchanges, SEBI, Internal audit Group, external internal audit.

- Ensure that Company has appropriate compliance framework to ensure compliance of all applicable laws, regulations and internal policies

- Formulate and implement compliance policies and plan

- Advise the business on compliance issues and regulatory risks pertaining to Financial/Broking business

- Identify and analyze regulatory changes and oversight implementation

- Escalate potential delays/ red flags/ non-compliance's

- Oversee the identification, analysis and management of regulatory breaches

- Formulate and implement appropriate remedial measures to prevent re-occurrence of breaches, Coordinating with Internal Teams for Client on-boarding, ensuring all the relevant information / documents are in place and the compliance checklist is adhered to

- Meeting the renewal requirement of existing clients

Secretarial & Legal

- Preparation of the forms to be filed with MCA

- Coordinating for the Audit, Board, Committee and Shareholders meeting.

- Preparation of the Agenda Items of the Meetings

- Preparation of minutes of the meeting

- Preparing Directors’ Report, Liaison with Directors, and Internal / Statutory /Tax Auditors of the Company

- Coordinating with group legal for all the agreements to be executed by the company.

- Preparation and coordination on all legal contracts / documentation for Entities in India

- Develop systems and procedures to ensure the efficient and effective management of the company’s compliance requirements

- Act as the main point of contact to external auditors and provide all required information

- Resolving operational issues and implementing preventative measures

- Coordination for various Audits of the company,Statutory audit / Internal audits by Group auditors/Regulatory audits with SEBI/ Exchanges/ISO audits

Essential Skills and Experience

- experience in working in financial services industry, preferably a multi-national firm

- Previous experience in a similar position, including experience of providing Compliance & legal expertise across a group of companies

- Clear and confident communication style – verbal and written

- Assertive personality – able to challenge difficult users and extract clear and logical requirements

- Attention to detail – individual will be required to ensure all impacted process/regulations are considered

- Good overall business knowledge – understanding trade life cycle of equities markets in India

- Experience in Indian legal matters across functions

- Good relationship with external agencies (Regulators, exchanges, Financial institutions)

Educational / Professional Qualifications

- Company secretary /Member of ICSI

- Legal qualification (mandatory)

Jayeeta
022-24046122