Job Purpose :
- Designing, Implementing, Advising, Monitoring, Reporting, Streamlining, Regulatory Liaisoning and Ensuring appropriate secretarial framework, procedures, Standards and Processes as may be applicable under various applicable regulatory frameworks. Managing all secretarial activities for Organisation as may be assigned from time to time.
- The Secretarial department would validate the regulatory, risk assessment and compliance requirements for the new business initiatives and product launches, business compliance as applicable, establish a sound corporate governance framework, and provide transactional support in all business initiatives including in client dealing and regulatory liaising at various levels.
The key responsibilities of Lead - Company Secretary are:
- Preparation and timely reviewing of various internal policies and guidelines pertaining to trading, research regulations, anti-money laundering, broker/distributor empanelment's etc. as per the regulations for the organisation.
- Appraising Board/management/employees by interpreting regulatory changes and disseminating regulatory guidelines/circulars and assisting business in timely implementation of such regulatory guidelines.
- Engaging with business and back-office stakeholders on a continual basis and providing necessary guidance on significant compliance related matters including review of marketing material.
The primary challenges faced are :
- Keeping abreast of the latest legal/statutory amendments in various functions and to implement timely adherence to such amendments
- Liaising with multiple regulators, asserting adherence to risk findings in business decisions and finding quick solutions to issues while protecting the interest and image of the company.
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