Head at PMS Consulting
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Officer - Company Secretary & Compliance - Financial Company (10-15 yrs)
- Overall responsible for all compliances for Company
- Board/Committees/Shareholder Meetings
- Responsibilities w.r.t Board duties, powers, Director's Responsibilities
- Ensuring proper approvals and facilitate to Board/Management on various key areas.
- Timely Reporting of all issues under all applicable statute (e-forms, SEs, MCA, RBI, SEBI, etc.)
- E-Records, E-Voting, Video Conferencing, Other Paperless inclusion in managing the affairs
- Finalization of Legal opinions, Management of individual Board Members' compliance w.r.t SEBI, RBI, MCA, etc.
- Shareholder's Meeting
- Circular Resolution approvals/Postal Ballot
- ROCs, Stock Exchanges, Depositories (NSDL & CDSL), RTAs, Rating Agencies and Debenture Trustees
- Coordination with Bankers, State Government Authorities, Legal Counsels, CERSAI, Revenue Department, UIDAI, FIU-IND,
Licensing Authorities :
- Coordination with Debenture Trustees, Registrar & Transfer Agents,
- Coordination with Statutory Auditors, Secretarial Auditors, Internal Auditors, Practicing CAs/CSs
- Managing various correspondences with Shareholders (Both Institutional and Retail), Investors etc.
- Facilitating proper coordination with Board/Committee, Directors, Employees and other Stakeholders
- Safeguarding/security of the records, at offices/lockers
- Drafting, vetting of Agreements, Providing Authority letters, General related responsibilities
- Guiding on compliance of Promoter Group companies and Promoter's reporting
- Managing Regulatory affairs and other assignments for Subsidiary Companies.
- ESOP Management
- Should have handled IPO, QIP, Preferential allotment of shares, Listed/unlisted NCD, ECB, Assignment and Securitization transaction
- Affairs relating to insider trading compliances, administering, controlling and coordinating
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