Director at Arin Consultancy Pvt. Ltd.
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Listing Compliance Role - Wealth Management Firm (4-8 yrs)
1. Preparing agenda and minutes of board, committee and general meetings of the company.
2. Organizing committee/ board/ general meetings (including postal ballot) and coordinating with the directors for various meetings and responding to their queries.
3. Manage investor relations and timely addressing shareholder queries.
4. Complying with the requirements under the Companies Act, 2013, SEBI (Substantial Acquisition and Takeover) Regulations, SEBI (Prohibition of Insider Trading) Regulations, Listing Agreement, SEBI (LODR) Regulations, SEBI (ICDR) Regulations, SEBI (Issue and Listing of Debt) Regulations and RBI norms.
5. FEMA - Filing of FCGPR forms including annual return submission with RBI and liaise with RBI for the same.
6. Liaising with various regulators like Registrar of Companies, Stock Exchanges, SEBI, NSDL and CDSL.
7. Preparing annual reports of the company viz. board report, MDA, corporate governance, etc.
8. Well versed with the process relating to privately placed non-convertible debentures.
9. Co-ordination with statutory, internal and secretarial auditors.
10. Maintenance and updating statutory records and registers.
11. Monitoring and advising the management on the necessary changes in regulatory compliances and legislation.
12. Handling dividend and IEPF related process.
13. Coordinating with RTA relating to shares and oversee its activities.
14. The incumbent will be responsible for effectively managing the Corporate Laws
15. Complying with the requirements under the RBI guidelines for Systemically Important NBFCs and Handling the annual RBI inspection for the NBFC business.
1. B.Com., Company Secretary with minimum 5 years of experience.
2. Good knowledge in Companies Law, Listing Agreement and applicable SEBI regulations, FEMA and NBFC regulations.
3. Liaison with external agencies, viz., ROC, Share Transfer Agents, Stock Exchanges, Depositories, RBI, etc.
4. Good communication and Presentation skills