Compliance Officer
ABans Group of Companies · Mumbai · onsite · Posted 48d ago
Undisclosed5–6 yrsfulltimeSourced from
About a minute. You'll make an account on the way through.
About this role
role - Compliance Officer
- Professional Services Experience: 5-6 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 candidates 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.
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 Companys 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.
role - Compliance Officer
- Professional Services Experience: 5-6 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 candidates 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.
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 Companys 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.
Disclaimer: This job posting has been aggregated from external source. Role details, content, and availability are subject to change. Applicants are advised to confirm the latest information directly on the company website before applying.
Sourced from naukri
Skills
Corporate actionsConsultingAsset ManagementStock ExchangeCorporate GovernanceMonitoringFinancial ServicesLegalcomplianceCompany Law
About Abans Group
ABans Group of Companies
Financial Services
263
employees
2005
21 years old
Mumbai
India
₹8.2L PA avg
Avg at Abans Group
About
A dynamic organization committed to innovation and adapting industry practices through technology, fostering prosperity for all stakeholders.
Industries
Financial ServicesInvestment Banking / Venture Capital / Private Equity
Employee ratings
10 reviews
3.6/ 5
Culture
4.0
Career growth
4.2
Work-life
4.4
Employees rate it well for
Work-Life Balance36Overall Company36
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