Compliance Officer - CS - BFSI

Major Responsibilities:

- SARFESI Act

- Hands on experience of implementing a compliance framework as required by the RBI,

- SEBI & IRDA & monitoring the adherence to the same

- Listing Compliances as per LODR

- Quarterly & event basis compliance of listing agreement

- To act as a focal point with Regulators for clarifications, implementation of regulations and obtaining specific approvals

- To advise business and support units in compliance issues arising from their operations and business

- Filing of Quarterly Financial Result, Corporate Governance Report and Shareholding Pattern, Statement of Investor Grievances with BSE and compliance of various other clauses of LODR

- Intimation of change/modification pertaining to membership with Depository

- Inspections of NSDL and CDSL

- Replied to grievances/ complaints forwarded by Depositories, Weekly and submission of monthly IG report to NSDL & CDSL

- Filling of monthly, bi-monthly & other periodic reports to SEBI, RBI & IRDA

- Submissions pertaining to Exchanges and SEBI

- Analysis of circulars/guidelines issued by regulators on regular basis and Implementation of the same.

- Vetting of Policies and Agreements from Compliance perspective

- Event-based submission to Exchange and Depositories. (Change in director, Shareholding Pattern Compliance Officer etc)

- Preparing Disclosure under SEBI (SAST) & SEBI (Prohibition of Insider Trading) Regulations

- Liaising with Practicing Company Secretary for Board Meeting & other ongoing projects eg. Secretarial Audit, MCA filings & compliances, etc.

Qualification :

- Passed Company Secretary Professional Examination

- Completion of IRDA certification for Principal Officer

- Completion of Securities Intermediaries Compliance Certification would be an added advantage

- Attended training of Exchanges, IRDA and SEBI