Head - Compliance & Company Secretary - NBFC

Work for a trailblazing NBFC company that is founded by veteran Investment Bankers who have managed multi-billion dollar portfolios in companies like Morgan Stanley, Lehman Brothers, ABN Amro, Prudential etc!

Our client is a 5 yr old RBI registered Non-Deposit Taking Non-Banking Financial Company i.e. NBFC-ND. It has become a significant player in the wholesale financing space with its lending portfolio of senior secured debt across sectors. It focuses on wholesale financing and lends senior secured loans across sectors on themes built around Core Economy and Growth-oriented sectors as well as Mass Consumption and Recession proof sectors. The founder team comprises of investment banking veterans who have worked with tier 1 brands like Morgan Stanley, Lehman Brothers, Prudential, UBS, ABN Amro etc. The leadership team has experience of managing multi-billion dollar portfolios globally. It is now embarking on a diversification into the retail domain and launching an SME funding as well as unsecured lending division.

As a Head - Compliance and Company Secretary, you will oversee and manage the overall corporate governance and compliance function.

The other key responsibilities include:

- Managing the corporate secretarial and compliance functions of an NBFC

- Ensuring that the Company adheres to all corporate regulatory requirements and legislations

- Interpreting Compliance Monitoring Programmes into an organized and risk-based work schedule to ensure effective use of resources

- Representing the Company in all matters in the capacity as the Company Secretary

- Ensuring governance by conducting and participating in apex level meetings

- Business advisory on various compliance-related issues (Companies Act, RBI, FEMA and SEBI Rules)

- Conducting necessary AGM, Board and other committee meetings on time

- Preparing and circulating the AGM, Board and other committee meeting packs

- Drafting Agenda and Minutes of Meetings and Board Resolutions

- Ensuring AML Compliance including KYC policy, transaction monitoring, and sanction compliance

- Ensuring adherence to all corporate filings/returns on a timely basis

- Assisting in legal matters and liaisoning work as required with regulatory authorities

- Keeping abreast of current market and industry issues, regulation, and policies

- Maintaining relationships with the community and industry trade groups

Candidate Profile :

- Company Secretary with demonstrable work experience of 4-6 years in financial sector-NBFCs, Mutual funds, AMC, banks, stock brokers

- LLB Degree is a great add-on

- Knowledge of key legislations like Companies Act, FEMA, SEBI and RBI regulations

- Exceptional communication and interpersonal skills, and stakeholder management