Company Secretary & Compliance Officer

Department:

Location:

Reporting To:

Experience:

Qualification:

Job Summary:

The Company Secretary & Compliance Officer will be responsible for ensuring the company complies with all statutory and regulatory requirements, handling secretarial duties, and supporting the board in governance matters. The role involves liaising with regulatory bodies such as RBI, ROC, and SEBI, and maintaining internal compliance systems.

Key Responsibilities:

Secretarial Responsibilities:

• Organize and conduct Board Meetings, AGMs, and Committee meetings (Audit, Nomination & Remuneration, etc.).
• Draft agendas, minutes, resolutions, and maintain statutory registers.
• Ensure timely filing of necessary returns, forms, and documents with ROC (MCA).
• Coordinate with auditors, legal advisors, and other stakeholders.

Compliance Responsibilities:

• Ensure compliance with RBI guidelines applicable to NBFCs.
• Prepare and file periodic RBI returns (NBS-1, NBS-2, Statutory Auditor Certificate, etc.).
• Monitor compliance with Companies Act, FEMA, SEBI (if applicable), and other relevant laws.
• Develop, implement, and monitor internal compliance systems and frameworks.
• Liaise with external regulators and authorities like RBI, ROC, MCA, FIU, etc.
• Stay updated with regulatory changes and ensure timely implementation.

Corporate Governance:

• Ensure good corporate governance practices within the organization.
• Advise the Board and management on regulatory and legal developments.

Policy Management:

• Draft, review, and update internal policies such as Fair Practices Code, KYC Policy, Anti-Money Laundering Policy, etc.
• Ensure alignment of policies with regulatory expectations.

Skills & Competencies:

• Strong knowledge of Companies Act, 2013, RBI NBFC guidelines, and FEMA regulations.
• Excellent communication, drafting, and analytical skills.
• Eye for detail, ability to manage timelines and multitask.
• Proficient in MS Office and compliance tools/portals (MCA, RBI COSMOS, etc.)

Preferred Experience:

• Prior experience in NBFC or BFSI sector.
• Hands-on experience in handling RBI inspections and internal audits.
• Exposure to corporate restructuring, fundraising, or investor relations is a plus.