AVP - Compliance

This role is for one of Weekday’s clients
Min Experience: 8 years
JobType: full-time

Key Responsibilities / Accountabilities

NBFC - RBI-related Compliances:

• Ensuring RBI compliances applicable to NBFC-ND-SI-ML (RBI Scale Based Regulations, KYC Directions, Directions on IT and Outsourcing of IT Services and other Directions, Circulars, etc)

• Routine and Adhoc filings / submissions with RBI on various online portals (CIMS, Daksh, FIU Portal) and over emails.

• Drafting, Implementation and periodic review of Policies and Codes applicable to NBFCs.

• Handling regulatory communication, queries, scrutiny and inspections conducted by RBI.

• Compliance Calendar, Analysis of RBI Circulars and preparing the gist and implementation thereof.

• Handling inter-department requirements / queries on do ability and feasibility of transactions (related party transactions, Group Exposures, Outsourcing of services, borrowing, providing of security / guarantee, etc) 

Governance & Corporate Law (NBFC and other Group Companies)

− Conducting of Board, Committee and General Meetings.

− Drafting of Notice, Agenda and Minutes for the Meetings. Actionable and its Tracker.

− Analysis of doability / feasibility of Transactions in accordance with the Regulatory Framework (RBI, SEBI, Corporate Laws, FEMA).

− Framing and implementing ESOP schemes.

− Preparing and finalization of Annual Report (Boards Report, Management Discussion and Analysis, Corporate Governance Report)

− Preparation and Filing of various Forms with RoC / MCA.

− Liasioning with regulatory agencies viz. SEBI, RBI, ROC and Stock Exchanges

− Fund raising – by issue of Commercial Paper, NCDs, etc. Compliance with the relevant Guidelines

− CSR - Handling CSR Team requirements / queries on CSR Initiatives as to eligibility, Implementing Agency, carry forward of excess spend, etc.

− Audits – Handling various Audits i.e. Statutory Audit, Secretarial Audit, Compliance Audit, CSR Review Audit, IS Audit.

Tech / Tool Skills

• Hands on Companies Act, 2013, Secretarial Standards, RBI Guidelines for NBFCs

• Sound knowledge of MS word, Excel and Power point.

• Good financial knowledge with understanding of Balance sheet and P&L.

Required Behavioural Competencies

• Good interpersonal and relationship management skills.

• Networking and Influencing skills

• Written and Verbal Communication Skills

• Time Management

• Analytical bent of mind

• Organized and ability to handle stressful situations with ease