Company Secretary and Compliance Officer Key Responsibilities: Secretarial Compliance: - Ensure compliance with the provisions of the Companies Act, 2013, SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015, and other applicable laws and regulations. - Convene and facilitate Board Meetings, Annual General Meetings (AGMs), and Extra-Ordinary General Meetings (EGMs), including preparation of notices, agendas, and minutes. - Maintain statutory registers, records, and filings with the Registrar of Companies (RoC) and other authorities. - Draft and review resolutions, agreements, and other legal documents for Board and shareholder approval. - Liaise with regulators, stock exchanges, and depositories for compliance and reporting obligations. Compliance Management: - Oversee adherence to all applicable regulatory guidelines, including those issued by RBI for NBFCs. - Implement and monitor an effective compliance framework to manage regulatory risks. - Handle submissions to regulators such as SEBI, RBI, RoC, and stock exchanges, ensuring accuracy and timeliness. - Coordinate internal and external audits related to secretarial and compliance matters. - Monitor changes in relevant legislation and regulatory environments, ensuring necessary actions are taken to comply. Corporate Governance: - Advise the Board of Directors and senior management on governance best practices and compliance strategies. - Develop and implement governance policies, including the Code of Conduct, Insider Trading Policy, and Whistleblower Policy. - Ensure proper constitution and functioning of Board Committees (e.g., Audit Committee, Nomination and Remuneration Committee). - Facilitate the evaluation of Board and Committee performance. Risk and Compliance Monitoring: - Develop systems for monitoring and reporting regulatory and legal risks. - Ensure compliance with RBI's NBFC guidelines, including capital adequacy, risk management, and fair practice codes. - Conduct compliance training and awareness sessions for employees at all levels. Disclosures and Reporting: - Oversee timely and accurate disclosure of financial and operational data as per SEBI regulations. - Prepare and file annual reports, quarterly results, and other statutory disclosures. - Manage investor relations and communication, including addressing queries from shareholders and analysts. Additional Duties: - Act as the primary liaison between the company and stakeholders, including shareholders, regulatory authorities, and legal counsel. - Handle litigation related to corporate governance and compliance, if required. Qualifications & Experience: - Educational Qualification: Qualified Company Secretary (CS) from the Institute of Company Secretaries of India (ICSI). Additional qualifications like LLB or MBA (Finance) will be an advantage. - Experience: Minimum of 2-4 years of relevant experience in a listed company, preferably in the NBFC or financial services sector. - Strong understanding of corporate laws, SEBI regulations, RBI guidelines for NBFCs, and governance frameworks. - Experience in dealing with stock exchanges, depositories, and other regulatory bodies. Key Skills and Competencies: - Excellent knowledge of corporate governance practices and compliance frameworks. - Strong drafting, communication, and presentation skills. - Ability to manage multiple stakeholders and deadlines effectively. - Analytical thinking and a proactive approach to problem-solving. - Ethical and results-driven mindset with attention to detail. Why Join Us? - Be part of a forward-thinking, listed NBFC with a focus on innovation and growth. - Opportunity to work in a highly collaborative and professional environment. - Competitive compensation and benefits package.

Mumbai

Company Secretary/Compliance Officer - NBFC 

Job Description for Company Secretary/Compliance Officer - NBFC  in Dhruvini Consulting Pvt Ltd in  Mumbai for (2-4) years of experience. Apply Now!