Compliance Executive - VentureCapital firm

Corporate Secretary Duties:

• Ensure compliance with the Companies Act
• Oversee corporate governance and manage all compliance filings.
• Prepare meeting agendas, draft minutes, and follow up on action items to

ensure accountability and timely completion.

• Maintain statutory registers and company records in accordance with legal

requirements.

• Liaise effectively with the Registrar of Companies (ROC), government

authorities, consultants, and external agencies.

• Ensure timely submission of all required documentation to regulatory

authorities, adhering to strict deadlines.

• Schedule and coordinate Board meetings, General Meetings, and

committee meetings, ensuring all logistical aspects are handled efficiently.

• Conduct compliance reviews and prepare reports forsenior management

and the Board, summarizing compliance activities, findings, and

recommendations.

• Coordinate responses to regulatory inquiries and audits, ensuring

thorough and timely communication.

Compliance Responsibilities:

• Stay updated on changes in relevant legislation and communicate these

updates to the management team.

• Assist in the development, implementation, and maintenance of

comprehensive compliance programs and policies.

Conduct regular risk assessments to identify potential compliance risks and

areas for improvement.

• Develop and deliver training programs to enhance employee awareness of

compliance requirements.

• Provide guidance and support to staff on compliance-related inquiries and

issues.

• Maintain accurate records of compliance activities, including training

sessions, audits, and investigations.

• Prepare compliance reports for management and the Board of Directors,

detailing compliance status and areas for action.

• Investigate compliance violations or concerns, document findings, and

recommend corrective actions.

• Organize and maintain compliance documentation, including fund offering

materials, regulatory filings, and internal compliance reports.

• Collaborate with other departments to ensure a cohesive approach to

compliance and effectively address compliance issues.

• Act as a primary contact for regulatory authorities and auditors during

inspections and audits.

Qualifications

• Certified Company Secretary
• Minimum 3 years of compliance management experience