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 the Institute 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