BHIVE - Assistant Vice President - Compliances

The Assistant Vice President - Compliance will assist in leading the organization's compliance program, ensuring adherence to regulatory requirements, internal policies, and industry best practices. This role will serve as a key liaison between business units and regulatory bodies, provide strategic input on risk mitigation, and help foster a culture of compliance across the organization.

Roles and Responsibilities:

- Liaison with board members and investors and support them for various reports requested from time to time: Recurring reports and Ad- hoc reports requested from time and time by the investors.

- Collection and preparation of various information and liaison with CS for Filing of the below mentioned reports- India Companies Act- ROC RBI filings.

- Directors KYC

- AGM filing

- Balance sheet directors report filing

- Consolidated balance sheet filing

- MSME filing

- Annual returns

- Ultimate beneficial ownership filing

- Foreign Assets Liabilities

- Subsidiaries financial status

- Directors appointment resignation filings.

1. Responsible for obtaining and tracking digital signatures. Preparation, tracking and maintenance of documents for board meetings, EGMs and AGMs. Liaison with internal stakeholders and CS for preparation of board EGM resolutions and minutes of the meetings. Maintenance updation of investor reports- Capitalization table, register of members, register of directors, share transfer details. Meeting statutory authorities of RBI ROC for compliance related reporting. Responsible for end- to- end process of appointment and resignation of directors. Support required information for board presentations.

2. Recurring - BHIVE CAPITAL - Secretarial:

a. Coordination for filings related to AGM and providing internal information documents.

b. Coordination for Various Filings related to OBPP and PTC and providing internal information documents.

c. Coordination for Filings related to SDI investment and providing internal information documents.

d. Coordination for Other ad- hoc filings required from time to time and providing internal information documents.

3. ESOP:

a. Responsible for ESOP grants and maintenance of ESOP register.

b. Preparation and maintenance of ESOP tracker

c. Filing of ESOP forms

d. Preparation and maintenance of documents for ESOP meetings.

e. Responsible for execution and tracking of Phantom Stock options.

4. Fund- Raise:

a. Liaison with legal teams, CS for finalisation of SHA, SSA.

b. Preparation of compliance reports.

c. Responsible for secretarial due diligence.

d. Liaison with merchant banker, registered valuer and a practicing CA for share valuation certificates.

e. Liaison with banks for remittance of capital funding and provide various documents to the banks related to various filings.

f. Preparation of various documentation for conditions precedent to closing.

g. Preparation of various documentation for closing actions of the SSA.

h. Preparation of various documentation for conditions subsequent to closing.

i. Liaison with the investors for receipt of signed documents of various waiver letters, agreements and other forms.

j. Filing of various forms (FIRC, KYC, FC- GPR etc.) as per ROC RBI regulations.

- Responsible for end- to- end process of issuance of shares to the investors: a. Preparing necessary documentation for RTA

- Preparing necessary documentation for depositories (NSDL, CDSL)

- Coordination for preparation of physical shares.

Others -

1. Responsible for end- to- end process of share transfer, buy- back of shares and dis- investments.

2. Maintenance of patent register.

3. Preparation of necessary documents and coordinate with IP consultants for patent filing

Collaboration and communication: Proactive monitoring and collaboration with team members and internal departments are necessary to guarantee seamless operations at the center.

How the role Interact with other teams or Individuals: Ensure effective communication and coordination between different teams to align Finance strategies with overall business goals.

Qualifications:

1. Bachelor's degree/master's degree in law, Finance, Business Administration, or related field (Master's or JD preferred).

2. 12-15 years of relevant compliance experience in financial services, banking, insurance, or a related sector.

3. Strong understanding of relevant regulations (e.g., AML, GDPR, SOX, KYC, depending on sector).

4. Proven ability to manage complex regulatory requirements and multi-jurisdictional issues.

5. Experience interfacing with regulators and senior management.

6. Excellent analytical, organizational, and communication skills.

7. Certifications such as CAMS, CRCM, CCEP, or equivalent preferred.

Key Competencies:

1. Integrity and ethical judgment

2. Risk-based thinking

3. Strategic orientation

4. Problem-solving ability

5. Leadership and influence

6. Strong interpersonal and communication skills