Head - Compliance & Company Secretary - Financial Services

Position Title: Compliance and CS head

Job Purpose :

To provide CS and legal advice and support particularly in financial services products, services, transactions, governance and risk-management.

Key Accountabilities:

- Ensure compliance with all Rules & Regulations and Filings applicable to the company.

- Responsible for Compliance related to Regulatory & Statutory bodies like RBI, CVC etc.

- Responsible for Secretarial Services including Liaison with Board, Corporate Governance Matters

- Year-end matters including director report, notices etc.

- Draft, review, negotiate, execute contracts, Non-Disclosure Agreements, Master Service Agreements, Statement of Works, Licensing Agreements, and other legal documents pertaining to the company

- Drafting and standardizing all legal documents of business and all other documents relating to the company.

- Provide legal solutions / remedies to the Business Teams to mitigate the risk involved in the business transactions

- To liaise with external consultants for specific cases / issues/ contracts/ documentations/ legal advisory services as required and review the work done by them

- To prepare/review all internal documents related to loans/agreements/associations including Project related/Loans/Financial Documents

- Monitoring and Governance of Contracts

- Review on Legal Contracts, reporting, and handling legal issues with recovery and existing customers etc.

Relevant Competency:

- Should have relevant experience in NBFC/Bank or other financial institutions

- Indepth knowledge of the Companies Act, 2013

- Should be able to understand the legal/compliance ecosphere in the retail product business and should be able to coordinate with product/risk team for proper drafting of agreements/MOUs.

- Should have a strong understanding of Companies Act, Contract act, FEMA, SEBI, RBI, Arbitration

- Should be aware of the litigation and recovery proceedings including 138 matter and SARFEASI matter, Bankruptcy Code, etc.

Academics :

CS Candidates with LL.B degree

Experience : 5 to 12 years

Desired Skills and Experience :

Legal Risk Management, Secretarial Compliance, Regulatory Compliance