- Manage SEBI related compliance and audits.  - Drafting of Company policy in line with the SEBI circulars and Regulations for Stock Brokers or Merchant Bankers.  - Managing money laundering compliances.  - Submission of Balance Sheet within one month from the finalisation and not later than 30th Dec.  - Necessary time to time reporting to RBI for the compliance requirement.  - Help in Execution of merchant banking assignments/ ECM assignments.  - Drafting / vetting DRHP/ RHP/ Prospectus/ Open Offer documents, Exchange in principle approval documents, reply to SEBI/ Exchanges etc.  - Working on Companies Act, 2013  - Completing Formalities related to fresh issues of equity and preference shares for listed and private limited companies.  - Filing of respective Forms (physical, e-forms)  - Finalization of agenda and holding for Board meeting and committee meeting etc.  - Handling Board meeting, AGM/ EGM/ Committee meeting   - Drafting Annual Report as per compliance of Companies Act and listing agreement corporate governance requirement.  - Oversee the handling of Audit and RBI inspections on a periodic basis   - Development of policies and procedures and other documents governing business activities, such as manuals, codes of conduct, practice notes, and the like, to comply with applicable laws, rules and regulations.

Mumbai

Vice President/AD - Company Secretary & Compliance - Financial Services 

Vice President/AD - Company Secretary & Compliance - Financial Services  ,Job Description for Vice President/AD - Company Secretary & Compliance - Financial Services  in ESP Consultant India Pvt. Ltd. in  Mumbai for (15-20) years of experience. Apply Now!

Job Description for Vice President/AD - Company Secretary & Compliance - Financial Services  in ESP Consultant India Pvt. Ltd. in  Mumbai for (15-20) years of experience. Apply Now!