– The incumbent should be heading Compliance, Secretarial functions – preferably also Legal in a big organization (BFSI sector experience a must)
– The Head of Compliance & Secretarial will be responsible for managing compliance & Secretarial with respect to RBI and other regulatory bodies.
– Devising compliance plans, guiding and educating the management on compliance matters, updating knowledge on recent regulatory changes, and responding in case of government investigations.
– Advising management on good governance practices and compliance of corporate governance norms as prescribed under various corporate and social Corporate, Securities and Other Business Laws and regulations and guidelines.
– Compliance Management of Regulatory requirements and all applicable legal requirements prescribed under Companies Act, FEMA (FDI Regulations), RBI (NBFC Regulations), Listing Agreements with Exchanges, SEBI Regulations. Listing Compliances, and Insider Trading Regulations, FEMA guidelines & all other corporate laws. Conducting various meetings and drafting of its Agendas/ Minutes.
– Liaison with Statutory/Regulatory authorities, Reserve Bank of India and Registrar of Companies, SEBI, Stock Exchanges, Banks, MCA
– Financial Institutions & Management Consultants, Banks, and other Governmental Authorities, RD, NCLT, CDSL, Courts etc.
– Supervising changes in regulatory environment; formulating corporate governance practices and supervising implementation, ensuring adequate training of team members with ever changing regulatory regime. –
– Oversee Statutory Registers – Register of Directors/KMPs & their interest, Members, Charges, Minutes, Books, MOA & AOA, Share Transfer Deeds, Regulatory Licenses / Approvals etc
– Corporate Re-structuring, Mergers & Acquisitions, Fund Raising (including IPO, Rights Issue, QIP, Preferential Offer etc), Listings, Buy-back, Private Equity, Joint Ventures,
Skills & Experience:
– 20+ years of experience in a large organization in the financial industry
– CS/CA with Law Degree
– Well versed with regulatory environment in the BFSI space
– Excellent communication and presentation skills –
– Strong Compliance and Legal acumen –
-Capability to lead, manage and work with cross functional teams