Company Secretary - LLB

Qualification - CS and LLB (preferred)

Post Qualification experience - 3-6 yrs

Experience person from listed NBFCs with strong hold over Companies Act, FEMA, Securities Laws and RBI Regulations for NBFCs (systemically important).

Compliance function provides opportunity of working on a diverse range of challenging tasks, which paves way for further learning and growth. The person shall be highly motivated and self-driven to achieve desired outputs in the assigned projects. The person shall be able to contribute individually to the growth of team and its members. The key responsibilities for the role will be divided into following 4 parts:

A. Strategic analysis

- Assisting in terms of regulatory requirements on different product structures, strategies and models with Products teams and Business team

- Assisting in driving processes within the Compliance team to support Products, Business, Treasury, Operations and Finance team and proactively plug in gaps.

- Actively provide valuable input to the senior team members w.r.t. matters related to fund raise, share issues, merger/demerger, CSR, related party transactions, structuring of transactions, buyback, etc.

- Drive process of regulatory licenses, applications with regulatory bodies such as RBI, SEBI (including stock exchange), MCA (including ROC, RD), NCLT-NCLAT, etc.

- Provide strategic advice during in internal and external meetings w.r.t. regulatory requirements

- Assist Risk and Internal Audit team in streamlining process gaps by driving changes within and outside Compliance team

B. Compliance

- Drafting internal opinions on various matters covered under corporate laws, securities laws and financial laws as applicable to listed NBFCs to solve complex situations

- Assist in securities law silo for implementation of SEBI Regulations such as SEBI (LODR) Regulations, SEBI (PIT) Regulations, SEBI (ILNCS) Regulations, SEBI (NCS) Regulations, etc. and ancillary support activities in terms of training, material for awareness and compliances

- Review agendas and papers for board meetings, committees, and general meetings (AGM-EGMs) and follow up on action points through systematic approach and tracking of actionable

- Preparation and maintenance of minutes in a structured manner with proper actionable tracking

- Manage correspondence, data / information collection for various projects, regulatory requirements, in a timely manner

- Ensure all regulatory filings, applications, returns, etc. are submitted within the stipulated deadlines under all applicable laws

- Ensure all FEMA compliances w.r.t. FDI, ECB, Downstream Investment, Import-Export, or under any other aspect of FEMA regulations

- Handling communication with multiple stakeholders as and when required

- Liaise with external regulators and stakeholders, including auditors, legal counsels, etc. for various projects and audit/due diligences.

- Keeping track of periodical compliance chart/calendar under the Companies Act and SEBI Listing Regulations w.r.t. monitoring changes in statutes and ensuring compliance.

- Ensuring statutory records are maintained and regularly checked

C. Learning & Development

- Ensure policies, regulatory, or statutory changes that might affect the organisation are up to date, approved by the committee and explained to the concerned departments through training sessions

- Organise trainings for Compliance team members on subjects of relevance w.r.t. professional growth and development

- Ensure periodic regulatory update sessions within team and outside team (on need basis) to sensitise about changes in regulatory framework

- Lead the organisation's newsletters, news & updates, practices and improve them constantly

- Provide inputs to improve training in non-technical areas for Compliance team like soft skills, tech trainings, etc.

D. Automation

- Identification of processes to be automated either partially of fully

- Lead in automating the compliance functions, roles and duties w.r.t. routine filings, statutory compliances, statutory record keeping, etc.

- Drive innovation with internal tech team to help build robust tech based solutions for improving efficiency of team

- Lead the automation strategies formulated by management for various teams in which Compliance plays support function

- Assist in formulating digital plans for growth of automated processes by identification of technological upgradation, resolving glithces, improving system efficiency, as may be required.

Employment Type : Full-time