Senior Compliance Associate

2 days ago

Jaipur, India Digamber Finance Full time

Position Title : Senior Executive ​

Location : Jaipur​

Reports to : Chief Compliance Officer ​

Department : Compliance​

Job Type : Full-time​


Job Summary:

The role of Senior Executive is to ensuring corporate governance, regulatory compliance, and legal

integrity within the organization. This individual will be responsible for supporting the Company

Secretary in managing the legal and regulatory requirements of the company, especially in the

context of a Non-Banking Financial Company (NBFC). The role involves statutory filings, corporate

governance support, liaison with regulators, and providing corporate secretarial services to the Board of Directors.


Key Responsibilities:

1. Corporate Governance & Compliance:

  • Ensure compliance with the Companies Act, 2013, and applicable regulations under the NBFC framework, including guidelines issued by the Reserve Bank of India (RBI).
  • Facilitate corporate governance best practices within the organization and assist in ensuring adherence to policies and internal control systems.
  • Ensure timely and accurate filing of statutory returns, forms, and reports with the Ministry of Corporate Affairs (MCA), RBI, and other relevant authorities.
  • Support the preparation and review of board meeting minutes, resolutions, and agreements.
  • Maintain the statutory registers, records, and other legal documents in accordance with corporate governance guidelines.


2. Board Support:

  • Coordinate and assist in organizing Board meetings, Annual General Meetings (AGMs), and Extraordinary General Meetings (EGMs).
  • Prepare and distribute board meeting notices, agendas, and meeting minutes.
  • Draft resolutions and assist in the preparation of reports for board and committee meetings.
  • Provide guidance on legal and corporate governance matters to the senior leadership team and board members.


3. Regulatory Reporting:

  • Ensure timely and accurate submission of regulatory filings, disclosures, and returns required by the RBI, SEBI, MCA, and other regulatory bodies.
  • Track regulatory changes and advise the company on compliance requirements, including applicable provisions of the RBI Act, 1934, and other relevant statutes.
  • Prepare compliance reports and submissions as required by the management and regulatory authorities.


4. Legal & Secretarial Advisory:

  • Handle legal documentation, including the drafting and review of contracts, agreements, and other corporate documents.
  • Assist in managing legal disputes, litigation, and legal notices, and coordinate with external legal counsels as necessary.
  • Support in M&A transactions, including due diligence, agreements, and regulatory approvals.


5. Liaison with Regulators and Stakeholders:

  • Act as a point of contact between the company and various regulatory authorities, including RBI, MCA, and others.
  • Respond to regulatory inquiries and provide support during regulatory inspections or audits.
  • Facilitate stakeholder communication, including providing periodic updates to shareholders, investors, and regulatory authorities.
  • Ensure that the company's policies and practices align with statutory requirements, internal guidelines, and best practices in corporate governance.
  • Collaborate with the internal audit team to review compliance with corporate governance and regulatory requirements.


Qualifications Experience and Key Skills:

  • Graduate with a degree in Law or related fields (preferred). Associate Member of the Institute of Company Secretaries of India (ICSI) (ACS). Additional qualifications related to finance, compliance, or law will be an advantage.
  • Minimum 1 to 3 years of experience in company secretarial and legal functions, preferably in the NBFC or financial services sector. Strong understanding of the Companies Act, 2013, RBI regulations, and corporate governance norms applicable to NBFCs.
  • Proficiency in MS Office Suite (Excel, Word, PowerPoint, etc.). Familiarity with legal management software, corporate governance tools, and compliance management systems is an advantage
  • High level of integrity, confidentiality, and professionalism. Strong organizational skills with the ability to manage deadlines and priorities.

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