Compliance Associate (CS)

Core Responsibilities

• Regulatory Compliance

  : Monitor and ensure adherence to all applicable laws and regulations, which can span financial, tax, and specific industry regulations (e.g., RBI for NBFCs, SEBI for listed entities) across multiple jurisdictions.

• Corporate Governance

  : Advise the board of directors on corporate governance matters and their roles and responsibilities.

• Secretarial Functions

  : Manage and maintain statutory books and records (e.g., registers, minutes), draft legal documents, notices, agendas, and resolutions for board and general meetings.

• Filings and Reporting

  : Prepare and submit required forms, returns, and reports to regulatory authorities such as the Registrar of Companies (ROC) and tax authorities.

• Audits and Risk Management

  : Conduct regular internal audits and reviews to identify potential compliance risks and assist in managing external audits and due diligence processes.

• Policy Development and Training

  : Support the development and implementation of compliance policies and procedures and assist in training employees on best practices and regulatory updates.

• Liaison and Advisory

  : Act as a point of contact for external regulators, auditors, lawyers, and shareholders, and provide advisory support to internal departments on legal and regulatory issues.

Required Qualifications and Skills

• Education/Certification

  : A bachelor's degree in Law, Business, or a related field is typical. Professional certification as a

  Chartered Secretary (CS)

  or an Associate/Fellow Member of theInstitute of Company Secretaries of India (ICSI)is often a mandatory requirement.

• Experience

  : Typically requires a minimum of 2-5 years of post-qualification experience in a relevant corporate governance, legal, or compliance role, with specific experience often sought in financial services, trading, or specific regulatory frameworks.

• Skills

  :
• In-depth knowledge of corporate laws and regulations.
• Excellent attention to detail and strong analytical skills.
• Strong written and oral communication skills.
• Ability to work independently and manage multiple tasks efficiently.
• Problem-solving and strong organizational skills.
• Preparation of Board meeting/General meeting agenda/notice & minutes, Statutory Registers, disclosures or filing of MCA Form
• Secretarial auditing, statutory audits & due diligences
• SEBI INVIT, FEMA, SEBI LODR