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04 Jul 2023


Manager Assistant Manager-Compliance and Secretarial, 3 to 6 years in Mumbai

Company Logo BOB Financial Solutions Limited


5-6 Years

Compliance, Compliance Management, Stakeholder Management, Analytical Skills, risk management, Writing Skills, board meeting, FEMA

Job Description

Position: Manager Assistant Manager-Compliance and Secretarial
Qualification: CS
experience:  3 to 6 years
Location: Mumbai

Job description
Roles and Responsibilities

• Ensuring compliance with all Rules & Regulations and Filings applicable to the Company, relating to but not limited to Regulatory& Statutory bodies like RBI, C&AG, CVC, MCA, etc.

  • Handling all Listing Compliances i.e. BSE, NSE, SEBI, ROC, SEBI (SAST, Insider Regulations) Act etc, including certifications, filings, policy changes, etc.

  • Handling ESOP Procedure and Allotment of Shares under ESOP/listing agreement.

  • Alteration of the Articles of Association and Memorandum of Association, including changes in Authorized Share Capital of the Company & Allotment of Shares.

  • Dealing with investors, including Shareholders/Debenture holders Subscription Agreement and drafting and amendment in agreement related to share holder & Debenture holder and ongoing compliances pursuant to these.

  • Independently organizing, conducting and recording all statutory meetings required under the Companies Act, of shareholders and directors (including committee meetings), routine liaising with Board this would include preparation of invitations, agenda and minutes of Board, and General Meetings with successful conduct with least complexities and closing on all action items arising out of Board and committee meetings and systematic reporting of the same.

  • Ensuring compliancewithSecretarialStandardsandresponsibleforall Secretarial Services and related compliances and filings under CompaniesAct. • Drafting of annual reports comprising of Notice, Directors report, corporate governance report, Management discussion analysis report, asrequired.

  • Tracking &Monitoringstatutorydeadlinesofsecretarialmattersand non-statutory due dates and preparing and filing necessary documents, returns & forms with ROC as required under Companies Act;statutory returns/recordswith RegistrarofCompanies,RBI, SEBI, Exchanges, etc.

  • Maintaining and updating the Company\'s statutory compliance records,registers and policymanuals.

  • Regulatory management including timely follow up and reporting on compliance matters, attending to all Corporate Governance and disclosure requirements and handling audits under the Statutes applicable to the Company, relating to compliance and governance matters.

  • Applying effective risk management techniques and provide proactive practical advice/ remedies to the Business Teams to mitigate compliance risks involved in the business transactions.
  • • Liaising with, and representing the Company before various forums, including regulators, public authority, parentbank, etc. and creating relations of trust.
  • Undertaking annual review and updating policies as per amendments, viz., Stakeholders Right Policy, Investor Grievance Redressal Policy, etc

Desired Candidate Profile

• Relevant experience in NBFC/ Bank or other financial institutions.
  • In-depth knowledge of the Companies Act,2013, SEBI guidelines, disclosures and compliances applicable to Debt listed companies, and all regulations applicable to BFSI Companies
  • Should be able to understand the compliance ecosphere in the retail product business within BFSI domain.
  • Expertise in all Company secretarial activities, statutory ulatory compliances, MCA 21 filings, XBRL Filings etc. under the Companies Act 2013, FEMA, RBI, etc.
  • Ability to identify potential issues and proactively plan action to mitigate legal, business and financial risks.
  • Ability to partner with Business Function (s)to addresstheir needs and driveorganizationwidecompliancesacrossfunctions.
  • Understanding the applicability and interpretation of corporate and banking laws, legislation, rules, circulars, directions and practices.
  • Keep abreast of latest developments judicial review and applicable law(s). • Possess strong verbal and written communication, research, organizational and analytical skills.
  • Be a self-starter and self-motivated individual and display high ownership and enthusiasm at work. • Detail-oriented and results-driven teamplayer.
  • Strong interpersonal skills in relationship building and for coordination with various locations/departments for collecting information and to enable smooth work, while maintaining confidentiality of information.

Educational Qualifications : A qualified member of The Institute of Company Secretaries of India (ICSI).

Minimum Experience : 3+Plus years of relevant work experience in secretarial function preferably from Banking and Financial Services sector companies of repute.

04 July 2023


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