Compliance Officer
Abans Finance · Mumbai · onsite · Posted 49d ago
Undisclosed10–18 yrsfulltimeSourced from
About a minute. You'll make an account on the way through.
About this role
Job role Compliance Officer
- Professional Services Experience: 56 years with Dhruva Advisors or a similar consulting/advisory firm.
- Financial Services Experience: A minimum of 5 years in the financial services sector, which must be the candidate's most recent role.
- Industry Experience: At least 2 years of industry experience in the financial services sector, preferably with a listed company or an unlisted subsidiary of a listed company.
- Mandatory Regulatory Exposure:
- RBI regulations
- SEBI regulations
- IFSCA regulations
- Company law and corporate governance
- Fund formation and fund operations
- Preferred Profile: Candidates with experience in NBFCs, asset management companies, fund management entities, investment firms, or other regulated financial services businesses.
Job Description Compliance Officer
- Ensure compliance with the Companies Act, SEBI Regulations, RBI guidelines, stock exchange requirements, and other applicable laws and regulations.
- Lead all corporate governance activities, including Board, Committee, and shareholder meetings, and ensure timely preparation of agendas, resolutions, and minutes.
- Oversee all statutory, regulatory, and periodic filings with regulatory authorities, stock exchanges, and other stakeholders.
- Advise senior management and the Board on regulatory developments, governance matters, and legal implications of business decisions.
- Manage compliance relating to listed equity and debt securities, including issuance, listing, post-listing obligations, and ongoing covenant monitoring.
- Review and implement internal policies, governance frameworks, and compliance processes to strengthen the Company's control environment.
- Monitor compliance with insider trading regulations, related party transactions, corporate governance norms, and disclosure requirements.
- Coordinate with regulators, stock exchanges, depositories, trustees, auditors, legal counsel, merchant bankers, and other external stakeholders.
- Support fundraising transactions, strategic investments, restructuring initiatives, mergers and acquisitions, and other corporate actions from a compliance perspective.
- Provide regulatory guidance on new business initiatives, products, and strategic projects to ensure compliance with applicable laws.
- Oversee compliance reviews, internal audits, secretarial audits, and regulatory inspections, and ensure timely closure of observations.
- Draft, review, and negotiate legal, regulatory, and governance-related documentation, including agreements, policies, and official correspondence.
- Track changes in laws and regulations, assess their impact on the business, and drive timely implementation across the organization.
Collaborate with cross-functional teams to promote a strong culture of compliance, ethical conduct, risk awareness, and good corporate governance while supporting business growth.
Sourced from naukri
Skills
AuditingSecretarial AuditregulatoryStock ExchangeCorporate GovernanceMonitoringGovernancemergersAgendaInternal AuditoperationsFinancial ServicesAcquisitionAgreementsSEBIStatutoryRBICompanies ActcomplianceregulationsSebi RegulationsCompany Lawrisk
About Abans Finance
Abans Finance
Financial Services
375
employees
About
ABans Finance Pvt. Ltd. (AFPL) formerly known as Sofed Comtrade Private Ltd. started its journey in the year 1995 in Calcutta (present Kolkata) and is continuing now, with the registered office in Mumbai.AFPL, an NBFC is registered with the RBI, in the category of non-acceptance of public deposits and is engaged in advisory services like Investment Banking, Corporate Finance, Project Finance, Trade Finance and providing Business & Retail Loans. Our NBFC business is primarily focused on providing Indian Rupee denominated secured and unsecured structured term financing solutions to individuals and corporates primarily in the category of small and medium enterprise (“SME”) borrowers in India by way of structured financing and trade financing. We provide lending solutions against tangible collateral as well as security in other forms, such as charge on operating cash flows. However, based on the client, requirement and our internal risk-assessment, we also provide unsecured loans. Our current portfolio of borrowers include corporate, individuals and SMEs engaged in various business like commodities trading, technology solution and agriculture & agri-product trading.We provide our clients with trading finance solutions which help them expand and diversify their financial portfolio. We also advance loans to our other associate companies within the ABans Group. Our team of management professionals makes sure that your experience is seamless and transparent.
Industries
Financial Services
Employee ratings
4 reviews
1.8/ 5
Culture
2.1
Career growth
1.7
Work-life
3.0
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