Compliance Specialist

2 days ago

Gurgaon, Haryana, India beBeeRegulator Full time ₹ 30,00,000 - ₹ 60,00,000
Compliance Specialist

About the Role:

  • RBI Compliance Management:
    • Maintain up-to-date knowledge of RBI/SEBI regulations, circulars, guidelines, and notifications relevant to the NBFC sector.
    • Develop and implement a robust compliance framework aligned with RBI directives, ensuring regulatory adherence, SEBI directives including LODR requirements.
    • Monitor changes in RBI/SEBI regulations and update compliance policies and procedures accordingly.
    • Oversee issuance of securities (shares/debentures) and ensure compliance with Companies Act, RBI, and FEMA.
    • Support the Back-Office Treasury Team for issuance of Commercial Papers/Non-Convertible Debentures and ensure SEBI and RBI compliance.
  • Statutory Compliance and Reporting:
    • Maintain and update statutory books, including registers of members, directors, and secretaries.
    • Prepare and file necessary e-forms/returns with MCA/ROC and other statutory/regulatory authorities.
    • Review Secretarial Compliance.
    • Coordinate with external parties such as advisers, consultants, lawyers, and auditors, providing necessary documents and information.
  • Additional Responsibilities:
    • Provide support to other teams on transactions or regular basis.
    • Ensure timely issuance of notifications related to Board/Committee members/management.
    • Handle annual filings with MCA/ROC, RBI, and other authorities.
    • Provide timely updates to Management/Board on new regulations and its impact on the Company.

Key Requirements:

  • Thorough understanding of RBI/SEBI regulations, guidelines, and directives applicable to NBFCs.
  • Strong analytical skills, attention to detail, and ability to interpret complex regulatory requirements.
  • Excellent communication and interpersonal skills, with ability to interact effectively with regulators, senior management, and other stakeholders.

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