Chief Governance and Compliance Officer

3 days ago

Mumbai, Maharashtra, India beBeeCompliance Full time ₹ 15,00,000 - ₹ 20,00,000

Job Overview:

The role of Company Secretary and Compliance Officer is a pivotal position within the organization, ensuring adherence to all applicable laws, regulations, and standards. This includes convening Board Meetings, Annual General Meetings (AGMs), and Extra-Ordinary General Meetings (EGMs), as well as maintaining statutory registers, records, and filings with regulatory bodies.

Main Responsibilities:

  1. Secretarial Compliance:
  • Ensure compliance with provisions of the Companies Act, 2013, SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015, and other applicable laws and regulations.
  • Convene and facilitate Board Meetings, AGMs, and EGMs, including preparation of notices, agendas, and minutes.
  • Maintain statutory registers, records, and filings with regulatory bodies.
  • Draft and review resolutions, agreements, and other legal documents for Board and shareholder approval.
  • Liaise with regulatory bodies, stock exchanges, and depositories for compliance and reporting obligations.
Compliance Management:
  • Oversight adherence to all applicable regulatory guidelines, including those issued by RBI for NBFCs.
  • Implement and monitor an effective compliance framework to manage regulatory risks.
  • Handle submissions to regulatory bodies such as SEBI, RBI, and stock exchanges, ensuring accuracy and timeliness.
  • Coordinate internal and external audits related to secretarial and compliance matters.
  • Monitor changes in relevant legislation and regulatory environments, ensuring necessary actions are taken to comply.
Corporate Governance:
  • Advise the Board of Directors and senior management on governance best practices and compliance strategies.
  • Develop and implement governance policies, including the Code of Conduct, Insider Trading Policy, and Whistleblower Policy.
  • Ensure proper constitution and functioning of Board Committees (e.g., Audit Committee, Nomination and Remuneration Committee).
  • Facilitate the evaluation of Board and Committee performance.
Risk and Compliance Monitoring:
  • Develop systems for monitoring and reporting regulatory and legal risks.
  • Ensure compliance with RBI's NBFC guidelines, including capital adequacy, risk management, and fair practice codes.
  • Conduct compliance training and awareness sessions for employees at all levels.
Disclosures and Reporting:
  • Oversight timely and accurate disclosure of financial and operational data as per SEBI regulations.
  • Prepare and file annual reports, quarterly results, and other statutory disclosures.
  • Manage investor relations and communication, including addressing queries from shareholders and analysts.
Additional Duties:
  • Act as the primary liaison between the organization and stakeholders, including shareholders, regulatory bodies, and legal counsel.
  • Handle litigation related to corporate governance and compliance, if required.

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