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Company Secretary / Compliance Officer - NBFC
Dhruvini Consulting Pvt LtdMumbai, India16 days ago
Job descriptionOversee adherence to all applicable regulatory guidelines, including those issued by RBI for NBFCs. Implement and monitor an effective compliance framework to manage regulatory risks. Handle submissions to regulators such as SEBI, RBI, RoC, and stock exchanges, ensuring accuracy and timeliness. Coordinate internal and external audits related to secretarial and compliance matters. Monitor changes in relevant legislation and regulatory environments, ensuring necessary actions are taken to comply. Advise the Board of Directors and senior management on governance best practices and compliance strategies. Develop and implement governance policies, including the Code of Conduct, Insider Trading Policy, and Whistleblower Policy. Ensure proper constitution and functioning of Board Committees (e.g., Audit Committee, Nomination and Remuneration Committee). Facilitate the evaluation of Board and Committee performance. Develop systems for monitoring and reporting regulatory and legal risks. Ensure compliance with RBI's NBFC guidelines, including capital adequacy, risk management, and fair practice codes. Conduct compliance training and awareness sessions for employees at all levels. Oversee timely and accurate disclosure of financial and operational data as per SEBI regulations. Prepare and file annual reports, quarterly results, and other statutory disclosures. Manage investor relations and communication, including addressing queries from shareholders and analysts. Act as the primary liaison between the company and stakeholders, including shareholders, regulatory authorities, and legal counsel. Handle litigation related to corporate governance and compliance, if required. Educational Qualification : Qualified Company Secretary (CS) from the Institute of Company Secretaries of India (ICSI). Additional qualifications like LLB or MBA (Finance) will be an advantage. Experience : Minimum of 2-4 years of relevant experience in a listed company, preferably in the NBFC or financial services sector. Strong understanding of corporate laws, SEBI regulations, RBI guidelines for NBFCs, and governance frameworks. Experience in dealing with stock exchanges, depositories, and other regulatory bodies. Excellent knowledge of corporate governance practices and compliance frameworks. Strong drafting, communication, and presentation skills. Ability to manage multiple stakeholders and deadlines effectively. Analytical thinking and a proactive approach to problem-solving. Ethical and results-driven mindset with attention to detail. Why Join Us? Be part of a forward-thinking, listed NBFC with a focus on innovation and growth. Opportunity to work in a highly collaborative and professional environment. Competitive compensation and benefits package.
Company Secretary and Compliance Officer
Key Responsibilities :
Secretarial Compliance :
- Ensure compliance with the provisions of the Companies Act, 2013, SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015, and other applicable laws and regulations.
- Convene and facilitate Board Meetings, Annual General Meetings (AGMs), and Extra-Ordinary General Meetings (EGMs), including preparation of notices, agendas, and minutes.
- Maintain statutory registers, records, and filings with the Registrar of Companies (RoC) and other authorities.
- Draft and review resolutions, agreements, and other legal documents for Board and shareholder approval.
- Liaise with regulators, stock exchanges, and depositories for compliance and reporting obligations.
Compliance Management :
Corporate Governance :
Risk and Compliance Monitoring :
Disclosures and Reporting :
Additional Duties :
Qualifications & Experience :
Key Skills and Competencies :
ref : iimjobs.com)
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Company Officer Nbfc • Mumbai, India
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