Associate Vice President - Compliance - NBFC - CS

Position: AVP - Compliance

Reports To: Chief Compliance Officer

Location: Mumbai

Years of experience: 8-10 years

Candidate should have experience in BFSI preferably NBFC domain

Qualification: CS degree

The Role

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.

C. 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.

D. 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