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06/05 Dwaipayan Choudhuri
National Practice Lead - Recruitments at Trustklub Consulting

Views:5528 Applications:142 Rec. Actions:Recruiter Actions:98

Assistant Vice President/Vice President - Compliance - BFSI - CS/LLB (8-17 yrs)

Kolkata Job Code: 694485

We have one very urgent position in one of the LEADING BFSI BRAND --




Business Unit - NBFC

Department - Compliance & Company Secretary

Function - Compliance & Company Secretary

Reporting Relationship - Functional - Group Company Secretary

Admin - CEO

Location - Kolkata

OFFERED CTC - negotiable pa approx ; depending upon current CTC, total & relevant years of experience, business volume, education background, interview status.

Job Objective

- The role is responsible for ensuring that the administrative responsibilities set out in Companies Act are properly carried out, there is sound compliance and effective governance and assistance is provided to the Board of Directors in the execution of its tasks

- The position is also responsible for activities related to Securities laws, listing agreement, depository bye-laws, and other applicable SEBI regulations.

Key responsibilities

Accountabilities KPI- s

Business Outcomes

- Monitor changes in relevant legislation and the regulatory environment and take responsibility for formulating the Corporate Governance Practices for Mutual Fund Business and oversee the implementation of the same

- Formulate a roadmap and oversee the implementation of compliances related to Companies Act, Secretarial standards, Stock Exchange Regulations and SEBI guidelines etc.

- Coordinate with the Directors & members of the management committee and take responsibility for convening all statutory board meetings and shareholders- meetings, define the agenda, manage proceedings and draft minutes of the meet

- Facilitate implementation of the Joint Venture/ Shareholders Agreement, and other allied Agreements.

- Take responsibility for filing of documents & returns with the Registrar of Companies, maintain statutory registers and records and manage compliances

- % adherence to corporate governance norms

- Timely disclosures as per the norms of corporate governance

- Number of non-compliance notices from statutory authorities

- % adherence to the statutory timeline for conducting board meetings & management committee meetings

- Target Vs Actual number of clearances and certifications from auditors on compliance practices

Risk, Process & Compliance :

- Co-ordinate with ROC, RBI, and other legal forums and submit audited accounts, balance sheet and auditors reports to the Registrar of Companies within the specified timelines

- Take responsibility for notifying the Registrar of Companies of any changes in membership changes of address of members or changes of registered address of the organization within the specified timeline

- % Adherence to timelines for the disclosures as per the norms of ROC, RBI etc.

- Timely disclosure of the changes in the management

People :

- Manage self and team through the establishment of goal setting and review mechanisms to achieve the objectives of the function

- Ensure adequate training of team members to be able to handle market dynamics and meet the requirements of the business

Any other additional responsibility could be assigned to the role holder from time to time as a standalone project or regular work.

- % adherence to PMS timelines and process for self and team

- Target v/s Actual number and man-hours of trainings held during the year

A. Key Interfaces

Internal Interfaces External Interfaces

- Accounts


- Treasury

- Legal

- All departments for the flow of information - Registrar of Companies

- Reserve Bank of India


- Stock Exchange

- Legal specialists / Consultants

B. Skills/Competencies :

Leadership :

- Proficient level of Business acumen

- Proficient level of Decision making and planning

- Expert networking and partnership building

- Expert level of Interpersonal effectiveness

Industry - ANY INDUSTRY. BFSI, Broking preferred.

Qualification: CS ( mandatory ) with a Law degree ( preferred not mandatory ).

Experience - 8 -17 yrs. of experience as a Company Secretary

Candidates willing to relocate can apply. [ Would be preferred if relocated candidates have any connection with Eastern part of the country or Kolkata ].


This job opening was posted long time back. It may not be active. Nor was it removed by the recruiter. Please use your discretion.

Women-friendly workplace:

Maternity and Paternity Benefits

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