Manager - Compliances, 5 to 8 years in Mumbai

Job Description

• Statutory Compliances under the Companies Act 2013, SEBI Listing (LODR) Regulations and Corporate Laws. Compliances for NBFC under RBI Regulations. Ensuring compliances as applicable to the other business process and functions;
• Preparation of resolutions, notice, agenda, compliances as per secretarial standard and minutes of board and committee(s) meetings;
• Ensuring communication and implementation of the Board decision and policies;
• To assist in preparation of Annual Report conducting of general meetings / postal ballot
• To handle compliances under SEBI Prevention of Insider Trading Regulations and SDD Tool;
• Investor communication and handling of grievances. Liaise and co-ordinate with RTA, CDSL, NSDL, etc. for transfer, transmission and dematerialization of shares 
• Co-ordination with Statutory and Regulatory Authorities (ROC, RBI, SEBI, MCA), Depositories including handling regulatory audits and inspections;
• Actively involved in the tracking, interpretation, and end to end implementation of circulars and regulations issued by the RBI, Exchanges, Depositories & SEBI and communicating the same to relevant teams with actionable;
• Ensure all periodic and ad-hoc regulatory filings are submitted correctly and in time;
• Updation of Statutory registers and records;
• Streamline and improve existing compliance and operational processes;
• Any other work related to secretarial matters as may be assigned.