Manager - Compliance - CS - NBFC (7-9 yrs)
Opening - Compliance Manager (NBFC Compliance)
Location - Mumbai
Company - NBFC
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 on 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 Polices 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 trainings of Exchanges, IRDA and SEBI
Work Experience :
Minimum of 7-9 years of post-qualification professional experience of implementation & management of RBI, SEBI & IRDA compliances
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