Vice President/Senior Vice President - Compliance & Secreterial

Designation : VP/ Sr VP - Compliance & Secreterial

Location : Gurgaon

Reports to :Board

Span of Control : 1-2 direct Reportees

Job Purpose : The purpose of this role is to ensure compliance with the laws applicable. The role incumbent is expected to ensure timely compliances, renewal of registration with Regulatory bodies, keeping the organisation updated about the changes taking place in regulatory arena from time to time, co-ordinate & guide other functions with respect to regulatory & compliance matters.

Position Summary : We are seeking a dynamic and experienced Company Secretary & Compliance Officer to join our team. The ideal candidate will be responsible for ensuring that the company complies with all legal and regulatory requirements, as well as maintaining high standards of corporate governance.

Key Responsibilities :

1. Legal Compliance :

- Monitor and ensure compliance with all applicable laws and regulations relevant to the company's operations.

- Keep abreast of changes in legislation and advise management on necessary actions.

- Draft, review, and update legal documents and contracts.

2. Corporate Governance :

- Oversee and ensure adherence to corporate governance practices.

- Organize and manage board meetings, including preparation of agenda, minutes, and resolutions.

- Maintain statutory registers and records in compliance with applicable laws.

3. Secretarial Functions :

- Act as the principal point of contact for the board of directors and shareholders.

- Facilitate communication between management and the board.

- Ensure compliance with provisions of the Companies Act and other related laws.

4. Compliance Monitoring :

- Develop, implement, and manage compliance policies and procedures.

- Conduct periodic compliance audits and assessments.

- Provide training and education on compliance matters to employees.

5. Regulatory Reporting :

- Prepare and submit required reports to regulatory authorities in a timely manner.

- Coordinate with external legal counsel for specialized advice on regulatory matters.

6. Inter-Department monitoring and co-ordination :

- Maintaining cordial inter-department relationship and cater to their requirement on a timely basis.

7. Risk Management :

- Identify potential areas of compliance vulnerability and risk, and develop and implement corrective action plans.

- Stay updated on industry best practices and emerging trends in compliance.

Qualifications :

- Qualified Company Secretary (CS) with relevant memberships and certifications.

- Minimum 16 years of experience in a similar role, preferably in the financial services industry.

- In-depth knowledge of relevant legal and regulatory frameworks.

- Strong understanding of corporate governance principles.

- Excellent written and verbal communication skills.

- Ability to work independently and in a team, with strong leadership skills.