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Assistant Vice President Compliance

Assistant Vice President Compliance

Shapoorji Pallonji Finance Private LimitedMumbai, Maharashtra, India
11 days ago
Job description

About the Company

Shapoorji Pallonji Finance Private Limited (SPFPL) is a systemically important, non-deposit taking, Non-Banking Finance Company (NBFC) governed by Reserve Bank of India (RBI). Our business value systems are built on the foundation, legacy, and rich culture of our parent company Shapoorji Pallonji Company and Private Limited (SPCPL). SPFPL has now re-focused on Supply Chain Financing as a product, along with tie-ups with several co-lending banks. It has a dedicated technology platform which has been developed by SPFPL that is not only cutting edge but the first in the NBFC (Fintech) industry. The technology platform is RBI compliant, ESG enabled and is built on an architecture used by global technology platforms. SPFPL has already tied up with several banks and anchor corporates, and with the increased demand for our platform by Banks as we need to onboard Anchors and their vendors to keep up with the demand.

About the Role

Responsibilities

NBFC - RBI-related Compliances :

  • Ensuring RBI compliances applicable to NBFC-ND-SI-ML (RBI Scale Based Regulations, KYC Directions, Directions on IT and Outsourcing of IT Services and other Directions, Circulars, etc)
  • Routine and Adhoc filings / submissions with RBI on various online portals (CIMS, Daksh, FIU Portal) and over emails.
  • Drafting, Implementation and periodic review of Policies and Codes applicable to NBFCs.
  • Handling regulatory communication, queries, scrutiny and inspections conducted by RBI.
  • Compliance Calendar, Analysis of RBI Circulars and preparing the gist and implementation thereof.
  • Handling inter-department requirements / queries on doability and feasibility of transactions (related party transactions, Group Exposures, Outsourcing of services, borrowing, providing of security / guarantee, etc)

Governance & Corporate Law (NBFC and other Group Companies) :

  • Conducting of Board, Committee and General Meetings.
  • Drafting of Notice, Agenda and Minutes for the Meetings. Actionable and its Tracker.
  • Analysis of doability / feasibility of Transactions in accordance with the Regulatory Framework (RBI, SEBI, Corporate Laws, FEMA).
  • Framing and implementing ESOP schemes.
  • Preparing and finalization of Annual Report (Boards Report, Management Discussion and Analysis, Corporate Governance Report)
  • Preparation and Filing of various Forms with RoC / MCA.
  • Liasioning with regulatory agencies viz. SEBI, RBI, ROC and Stock Exchanges.
  • Fund raising – by issue of Commercial Paper, NCDs, etc. Compliance with the relevant Guidelines.
  • CSR - Handling CSR Team requirements / queries on CSR Initiatives as to eligibility, Implementing Agency, carry forward of excess spend, etc.
  • Audits – Handling various Audits i.e. Statutory Audit, Secretarial Audit, Compliance Audit, CSR Review Audit, IS Audit.

    • Qualifications

    Candidate should have experience in BFSI preferably NBFC domain

    Qualification : CS degree

    Required Skills

  • Hands on Companies Act, 2013, Secretarial Standards, RBI Guidelines for NBFCs
  • Sound knowledge of MS word, Excel and Power point.
  • Good financial knowledge with understanding of Balance sheet and P&L.

    • Preferred Skills

  • Good interpersonal and relationship management skills.
  • Networking and Influencing skills.
  • Written and Verbal Communication Skills.
  • Time Management.
  • Analytical bent of mind.
  • Organized and ability to handle stressful situations with ease.

    • Website : https : / / www.shapoorjipallonjifinance.com /

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