Compliance Role - CS

Compliance cs

Compliance with:

1. Companies Act, 2013

2. SEBI (LODR) Regulations / Insider Trading / Takeover Code / ICDR

3. Banking laws (Shareholder, Director appointment and remuneration related, Statutory Auditors)

4. FEMA

5. Filing of Disclosures, documents, returns and forms with Stock Exchanges, ROC, RBI, etc.

6. Debenture Trustee compliances

- Board & Committee Meetings

- Conducting Committee meetings

- Drafting and finalising

7. Notice, Agenda and Minutes of meetings

8. Agenda items / notes and resolutions

9. Summary of minutes

- Uploading documents on Meeting management application

- Actions / Follow-ups

10. Actionable Items Reports

11. Follow-ups with stakeholders for implementation / reporting of actionable items

- Shareholder Meetings / Postal Ballot

12. Notice of General Meeting s/ Postal Ballot

13. E-voting Process and Voting Results

14. Minutes

- Investor Servicing

15. Attending to Grievance Redressal (end to end)

16. Coordination 0077ith RTA

17. OEPF Claim / Transfer of Shares/Dividend related process

18. SCORES / ODR platform management

- Advisory

19. Drafting of policies / SOPs / Procedures

20. Presentation to Group companies- Secretarial, etc.

21. Conducting knowledge management sessions internally

22. Interacting with other departments for business support and advisory

23. Analysis and interpretation - statutes, regulations, etc.

24. Making notes / internal memos / representations to the Regulatory Authorities on various statutory matters

- Annual Report and Others

25. Annual Report preparation / drafting Board's Report / Notice / Corporate Governance Report

26. Coordination with stakeholders (MCA, IEPF, SEBI, Stock Exchanges, Depositories, RTA, etc.)

27. Data collation

28. Fund raising

- ESOP / SARs

29. Allotment of ESOP Shares

30. Corporate Action

31. Listing process

32. ESOP / SARs disclosures

33. Review / monitoring MIS

- Inspection by Regulatory Authorities (including Reserve Bank of India)

9. Coordination for Audit / providing data - Secretarial / Statutory

34. Collation of data / documents

35. Sharing data / documents through FTP, etc.