Compliance Manager & Company Secretary - BFSI

Job Description

We Are Looking Only NBFC's Experience With Understanding Of RBI Compliances.

Position: Manager Compliance & Company Secretary

Identification Of The Job

Department : Legal & Compliance

Reports to : Head of Legal & Compliance

Main Goals And Objectives :

This position facilitates and engages in support of projects, programs, and other internal inquires, as relevant to ensure Compliance opinion and analysis is sufficiently delivered, and necessary documentation is done satisfactory to legal requirements :

- This position acts as secretary to the Board of Directors to ensure the stipulations from both the Articles of Association of the Company and related corporate governance laws and regulations are fulfilled.

- This position ensures that, as compliance officer, all the compliance-related works are properly done in accordance with applicable Group policies and local authority requirements.

- This position manages the compliance team by supervising on service quality aspects.

Responsibilities / Tasks And Customers :

Main Tasks (relating products, services ) :

- Legal services and compliance programmes

- Internal / External Customers related departments/law firms

Engagement in projects, programs, and other internal inquiries, as relevant :

- Having solid understanding on the business requirement, analyzing the feasibility of the desired business model, providing opinion on the compliance framework as well as proposing optimized solutions or best fit practice coherent to market practice.

- Participating in related internal and external negotiations and being responsive and taking lead in Compliance related sphere.

- Liaising with related government authorities to ensure accurate understanding as well as a smooth process to facilitate the implementation of the concerned project.

Internal :

- All departments

External :

- Government & other statutory bodies

Role of secretary to the Board of Directors :

- Advising the Board on related internal and external rules and regulations with regard to corporate governance.

- Preparing and proposing related Board documents for the Boards review in accordance with the Articles of Association and applicable laws and regulations.

Internal:

- All departments, Compliance departments of Head Quarter

External:

- Reserve Bank of India, Securities and Exchange Board

- Filling of necessary forms to Ministry of Corporate affairs and furnish the required information as and when required.

- Taking meeting minutes, drafting, circulating, archiving Board Resolutions/documentations, as well as coordinating headquarter counterparts of India, Ministry of Corporate Affairs.

Role of compliance officer:

- Executing and monitoring the implementation of the compliance program.

- Periodically revising the program in light of changes in the needs of the organization, and in the laws and policies and procedures of local authorities and headquarter.

- Developing, coordinating, and participating in educational and training program that focuses on the elements of the compliance program, and seeking to ensure that all appropriate employees and management are knowledgeable of, and comply with, pertinent standards.

- Investigating independently or jointly with internal audit department and acting on matters related to compliance (e.g., responding to reports of problems, hot-line calls, or suspected violations) and any resulting corrective actions with all departments.

Internal :

- All departments, Legal and Compliance departments of Head Quarter

External :

- Reserve Bank of India, Securities and Exchange Board of India

- Management And Coordination Responsibility

Education / Competencies/ Experience :

Number of direct reports : 0

Number of direct and indirect reports : 0

Number of contracted people, coordinated and supervised : 0

Education : Bachelor Degree in Law and Company Secretary

Working Experience (in years) :5+ years