Compliance Associate (CS)

Core Responsibilities

• Regulatory Compliance : Monitor and ensure adherence to all applicable laws and regulations, which can span financial, tax, and specific industry regulations (e.g., RBI for NBFCs, SEBI for listed entities) across multiple jurisdictions.
• Corporate Governance : Advise the board of directors on corporate governance matters and their roles and responsibilities.
• Secretarial Functions : Manage and maintain statutory books and records (e.g., registers, minutes), draft legal documents, notices, agendas, and resolutions for board and general meetings.
• Filings and Reporting : Prepare and submit required forms, returns, and reports to regulatory authorities such as the Registrar of Companies (ROC) and tax authorities.
• Audits and Risk Management : Conduct regular internal audits and reviews to identify potential compliance risks and assist in managing external audits and due diligence processes.
• Policy Development and Training : Support the development and implementation of compliance policies and procedures and assist in training employees on best practices and regulatory updates.
• Liaison and Advisory : Act as a point of contact for external regulators, auditors, lawyers, and shareholders, and provide advisory support to internal departments on legal and regulatory issues.

Required Qualifications and Skills

Skills Required

Due Diligence, Auditing, Compliance Management, FEMA Regulations, Corporate Law, sebi regulations