1 Opening(s)
1.0 Year(s) To 4.0 Year(s)
6.00 LPA TO 9.00 LPA
The Company Secretary and Compliance Officer plays a critical role in ensuring that the Non-Banking Financial Company (NBFC) operates in compliance with all statutory and regulatory requirements.
The individual will be responsible for managing corporate governance, legal documentation, regulatory filings, and ensuring adherence to compliance standards for the business. The role requires strong
organisational and communication skills, legal expertise, and the ability to work across various functional teams within the organisation.
Key Responsibilities:
Corporate Governance:
Oversee the functioning of the Board of Directors and its committees, ensuring compliance with governance practices, and statutory obligations.
Coordinate and prepare agendas, notices, minutes, and resolutions for board meetings, annual general meetings (AGM), and extraordinary general meetings (EGM).
Maintain statutory registers, records, and corporate documents, minutes of the meeting
Ensure compliance with the Companies Act, 2013 and other applicable laws and regulations
Compliance Management:
Oversee the implementation of the regulatory framework to ensure compliance with the Companies Act, 2013, Reserve Bank of India (RBI) guidelines and other relevant regulatory bodies.
Prepare, file, and maintain all regulatory filings, including those required by the RBI and other regulators.
Filing of Various RBI compliances and ROC filing on regular basis
Monitor and interpret changes in laws, rules, and regulations affecting the NBFC industry and ensure that the company adheres to these changes.
Conduct internal compliance audits and assessments to ensure business operations align with applicable laws and standards.
Legal and Regulatory Documentation:
Draft, review, and manage legal documents, including contracts, agreements, and disclosures.
Draft, review and manage various applicable RBI policies and update the same as and when required
Ensure timely and accurate filing of documents with regulatory authorities (RBI, Ministry of Corporate Affairs, etc.).
Liaise with external legal counsel and consultants for advice and legal proceedings, as needed.
Maintain and ensure accurate filing of statutory documents such as forms, returns, and filings with government agencies.
Risk Management and Reporting:
Identify, evaluate, and monitor compliance risks related to regulatory requirements, corporate governance, and business operations.
Prepare and submit timely compliance and risk reports to the Board and senior management.
Advise on risk mitigation strategies and assist in the development and implementation of compliance programs.
Internal Controls & Audit:
Coordinate and oversee internal audits of compliance functions.
Work closely with internal audit teams to ensure compliance with regulatory standards and organizational policies.
Ensure the company’s internal controls and processes align with the required industry standards.
Monitor and resolve RBI complaints of Customer
Monitor and keep watch on the grievance of the customer over grievance ID and respond to them within prescribed TAT
Monitor and keep watch on all RBI complaints portal such CMS, CPGRAM, Sachet platform
Appear on behalf of the company before various regulatory authorities during inspections, show cause notice or any other proceedings initiated by them
Qualifications and Experience:
∙Educational Qualification:
A qualified Company Secretary (CS) with membership in the Institute of Company Secretaries of India (ICSI).
Additional qualifications in law (LLB), finance, or management would be an advantage.
∙Experience:
Minimum 1+ years of experience in a Company Secretary and Compliance Officer role, preferably in a Non-Banking Financial Company (NBFC), financial institution.
In-depth knowledge of the Companies Act, 2013, SEBI regulations, RBI guidelines, and other regulatory frameworks.
Familiarity with industry standards and financial laws applicable to NBFCs.
∙Skills:
Strong understanding of corporate governance, regulatory compliance, and financial laws.
Ability to interpret complex legal and regulatory documents and provide actionable advice.
Excellent written and verbal communication skills.
Detail-oriented with strong organisational and time-management abilities.
∙Competencies:
Strong analytical, problem-solving, and decision-making abilities.
High level of integrity, confidentiality, and professionalism.
Ability to work independently, as well as collaborate within a team.
Demonstrated leadership and the ability to work with senior management.
Key Attributes for Success:
Strong ethical standards and commitment to legal and regulatory compliance.
Proactive in identifying and resolving compliance and governance issues.
Ability to thrive in a fast-paced and dynamic work environment.
Strong interpersonal skills to effectively interact with senior management, regulatory authorities, and stakeholders.
Additional Information:
This role requires close attention to detail, the ability to multitask, and a deep understanding of financial regulations and corporate governance in the context of an NBFC.
The ideal candidate will possess excellent leadership, communication, and organisational skills, with a focus on ensuring that the company complies with all legal, regulatory, and governance requirements.
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