Corporate Governance and Compliance Expert
5 days ago
We are seeking a seasoned Corporate Governance and Compliance expert to lead our secretarial, governance, and compliance functions. This critical role will be responsible for ensuring that Apollo Finvest (India) Limited maintains its commitment to excellence, transparency, and compliance with evolving regulatory landscapes.
Key Responsibilities:
The ideal candidate will have a strong understanding of corporate laws, SEBI regulations, RBI guidelines for NBFCs, and governance frameworks. Key responsibilities will include:
• Ensuring compliance with provisions of Companies Act, 2013, SEBI Listing Obligations and Disclosure Requirements Regulations, 2015, and other applicable laws and regulations.
• Convening and facilitating Board Meetings, Annual General Meetings (AGMs), and Extra-Ordinary General Meetings (EGMs), including preparation of notices, agendas, and minutes.
• Maintaining statutory registers, records, and filings with Registrar of Companies (RoC) and other authorities.
• Drafting and reviewing resolutions, agreements, and other legal documents for Board and shareholder approval.
• Liaising with regulators, stock exchanges, and depositories for compliance and reporting obligations.
• Overseeing adherence to all applicable regulatory guidelines, including those issued by RBI for NBFCs.
• Implementing and monitoring an effective compliance framework to manage regulatory risks.
• Handling submissions to regulators such as SEBI, RBI, RoC, and stock exchanges, ensuring accuracy and timeliness.
• Coordinating internal and external audits related to secretarial and compliance matters.
• Monitoring changes in relevant legislation and regulatory environments, ensuring necessary actions are taken to comply.
• Advising the Board of Directors and senior management on governance best practices and compliance strategies.
• Developing and implementing governance policies, including Code of Conduct, Insider Trading Policy, and Whistleblower Policy.
• Ensuring proper constitution and functioning of Board Committees (e.g., Audit Committee, Nomination and Remuneration Committee).
• Facilitating evaluation of Board and Committee performance.
• Developing systems for monitoring and reporting regulatory and legal risks.
• Ensuring compliance with RBI's NBFC guidelines, including capital adequacy, risk management, and fair practice codes.
• Conducting compliance training and awareness sessions for employees at all levels.
• Overseeing timely and accurate disclosure of financial and operational data as per SEBI regulations.
• Preparing and filing annual reports, quarterly results, and other statutory disclosures.
• Managing investor relations and communication, including addressing queries from shareholders and analysts.
• Acting as primary liaison between company and stakeholders, including shareholders, regulatory authorities, and legal counsel.
• Handling litigation related to corporate governance and compliance, if required.
Qualifications & Experience:
The ideal candidate should possess a Qualified Company Secretary (CS) certification from Institute of Company Secretaries of India (ICSI) and minimum 1-2 years of relevant experience in a listed company, preferably in NBFC or financial services sector. Strong understanding of corporate laws, SEBI regulations, RBI guidelines for NBFCs, and governance frameworks is essential. Ability to manage multiple stakeholders and deadlines effectively, analytical thinking, proactive approach to problem-solving, ethical mindset, and attention to detail are also key requirements.
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