AVP/ Sr Mgr - Secretarial and Compliance, Mumbai

Job Title: Senior Manager / AVP

Department: Secretarial, Compliance & CSR

Reports to: Head of Department [Vice President - Company Secretary and Compliance Officer]

Experience: 15 plus years’ of post qualification work experience in Secretarial and Compliance areas (including regulatory compliance).

Reported by : team of 5-6 persons

Preferred experience: Candidates having adequate experience of Secretarial and Compliance function with RBI regulated entities

Required Qualification: Company Secretary qualification with Bachelor’s degree in Law (LL.B) from any recognized university

 

 

1. Expert knowledge and work experience of Companies Act and Rules thereunder, Secretarial Standards and Corporate Governance requirements
2. Knowledge of compliance requirements under various other statues such as: Payment and Settlement Systems Act, Reserve Bank of India Act, 1934, IFSCA Act, Foreign Exchange Management Act, 1999, Micro, Small and Medium Enterprises Development Act, 2006, PMLA, Tax Laws, Cyber Laws, DPDP Act, Labour Laws, Environmental Laws etc.;
3. Ability to handle regulatory inspections and compliance of inspection observations by RBI, IFSCA and other regulatory authorities
4. Ability to oversee CSR function and end to end CSR activities, CSR project monitoring, implementing agency onboarding and CSR compliances

1. Handling of Board Meetings, Committee Meetings, Shareholders’ meetings- Notice, Agenda, Minutes and all pre and post meeting compliances including MCA filings
2. Effective communication and drafting skills. Ability to communicate in a professional manner with Board Members, shareholders, senior management, and regulatory authorities.
3. Ability to maintain and develop good professional relations with all stakeholders such as various departments, Functional Heads, Board Members, Shareholders, Auditors and Regulators
4. Handling of regulatory compliance requirements and regulatory audit and inspection
5. Overseeing compliance audit and verification of evidence of compliances for applicable compliance requirements under all applicable laws and contracts
6. Ability to handle various software's used in the department viz., Digital Meeting Software, Compliance Management Software, CSR Management Software etc
7. Excellent legal research, tracking various amendments in applicable laws and carrying out impact analysis for the company and getting the same implemented
8. An eye for details and maintaining accuracy in deliverables from self and team members
9. Strong administrative skills and analytical approach to problem solving, ability to lead a team of secretarial, compliance and CSR professionals
10. Maintaining good networking with CS and compliance professionals in the industry

1. In-depth knowledge and practical exposure of corporate governance requirements including handling of Board Meetings, Committee Meetings, Shareholders’ meetings- Notice, Agenda, Minutes and all pre and post meeting compliances including MCA filings, statutory registers etc.
2. Understanding of various statues viz, Regulatory Laws such as Payment and Settlement Systems Act, 2007, PMLA, Reserve Bank of India Act, 1934, Foreign Exchange Management Act, 1999 etc.), Companies Act, 2013, Labour Laws, Cyber Laws, Data Privacy Laws, Environmental Laws etc and Rules / Regulations / Circulars thereunder.
3. Understanding of compliance requirements under sectoral regulations such as RBI Regulations and Master Directions, IFSCA Regulations, various circulars and guidelines issued by regulatory authorities
4. Drafting and reviewing of various Corporate Policies under Companies Act and other applicable laws.
5. Handling of various audits such as Secretarial Audit, Compliance Audit, CSR Impact Assessment, ISO Audit etc
6. Good understanding of the Jurisdiction and the relevant statutes- applicability of new legislations, including impact assessment of new laws / amendments. Ability to analyze and interpret complex regulatory requirement and monitor the implementation.
7. Oversee all work to ensure compliances of all laws applicable to  and its subsidiaries by various departments and ensure that the Group remains compliant with all policies that have been implemented, ensure compliance to all the regulatory inspection observations
8. Maintaining good professional relationship with all stakeholders viz, Functional Heads, Board Members, Committee Members, Shareholders, Auditors and Regulators.

Job Purpose: To oversee and remain responsible for end-to-end activities in Secretarial, Compliance and CSR functions  and its subsidiary companies. Candidate should be independently able to manage and lead the team of professionals and report to HoD (CS & Compliance Officer).

Area of Operations: Oversee and manage end-to-end activities in Secretarial, Compliance and CSR functions of  and its subsidiary companies.

1. Handling of end-to-end activities of Secretarial Dept such as Board Meetings, Committee Meetings, Shareholders’ meetings- drafting and reviewing of Notice, Agenda, Minutes, Board’s Report and all pre and post meeting compliances including MCA / RBI filings for and its subsidiaries. Overseeing and monitoring Compliance of all the Companies Act requirements and Secretarial Standards, maintenance and updation of all statutory registers,
coordination with Shareholders, Depositories, Corporate Actions, Dividend Payment etc.
2. Drafting and reviewing of various Corporate Policies under Companies Act and other applicable laws. Drafting and reviewing Standard Operating Procedures (SoPs) and Operations
Manuals for the department.
3. Setting up of new subsidiaries, if any
4. Reviewing Memorandum and Articles of Association and making required amendments, if any
5. Complying with the Governance requirements under Principles for Financial Market Infrastructures (PFMI) and other regulatory directives / guidelines.

6. Overseeing monitoring and ensuring that all compliance requirements as applicable to and its subsidiaries are timely complied by all the departments under all applicable laws such as Corporate Laws, Tax Laws, Labour Laws, Data Privacy Laws, Environment Laws, Cyber Laws, PMLA, FEMA, regulatory laws, Bye Laws, Rules and Regulations of CCIL and its subsidiaries, international regulatory requirements such as Principles for Financial Market Infrastructures
(PFMI) and other applicable domestic and international requirements.
7. Handling of regulatory compliance requirements and coordinating regulatory audit and inspection by RBI, IFSCA and any other regulatory authorities. Submission of responses to inspection observations in coordination with all departments and monitor timely closure of all inspection observations by various department and reporting status of compliance to Regulatory Compliance Committee / Board of Directors.
8. Overseeing verification of the compliance reported by various departments in Compliance Management System with independent verification of evidence of compliances
9. Overseeing maintenance and tracking of all regulatory correspondence across all departments and its subsidiaries, ensuring timely submission of responses to all regulatory directives and communications and submission of periodic MIS to management.
10. Overseeing maintenance and updation of compliance management system which contains database of all applicable compliance requirements under various laws. Should keep abreast with the latest regulatory changes / requirements and ensure that all applicable requirements are updated in the system and complied with and update the management in respect of change in regulatory requirements. Stay updated with the best industry practices and
adoption of the same for the Company.
11. Conducting trainings and familiarization programmes on compliance matters as needed.

12. Overseeing and managing end to end CSR activities such as review of CSR Policy, identification of CSR Projects, evaluation of project proposals, onboarding of implementing agencies, disbursement of funds, monitoring of utilization, CSR Annual Report and other CSR related compliances
13. Drafting and reviewing of CSR Policy
14. Overseeing CSR Cell and CSR Committee Meetings – Notice, Agenda, Minutes etc

15. Overseeing CSR Projects visits and reviewing Visit Reports

16. Handle various software's used in the department viz., Digital Meeting Software, Compliance Management Software, CSR Management Software etc
17. Any other work / responsibility that may be assigned, from time to time, in respect of and its subsidiaries.