Job Description

Roles and Responsibilities

  • Ensure due compliance under the Companies Act, 3, SEBI Regulations, FEMA, RBI and other applicable laws;
  • Ensuring governance-related requirements are met;
  • Assist in ensuring that appropriate Company Secretarial Practices are developed, implemented and continuously improved as per relevant regulatory requirements from time to time;
  • Drafting/Vetting of documents to secure approvals from Board/Shareholders and other regulatory authorities;
  • Handling compliances relating to Board/Committee meetings and related secretarial and compliance activities;
  • Ensure accurate & timely submission of data for various due diligence and audits;
  • Conducting an assessment of the compliance risk, identifying root cause if any, correcting compliance deficiencies identified by internal and external examinations, developing a risk- oriented activity plan for compliance assessment;
  • Carrying out testing, monitoring, transaction-based analysis, returns monitoring and any other activity relating to risk assessment and mitigating compliance risk;
  • Review and assessment of processes and SOPs from a Compliance Risk perspective;
  • Carry out assessment/review on implementation of various policies, SOPs, code of conducts, etc.;
  • Assist in analysing the Compliance risks in existing/new products and processes;
  • Reporting to the Head on the outcome of assessment and compliance risk level in various businesses and operations;
  • Maintaining of the dashboard on compliance risk and managing the Compliance Risk Assessment framework in accordance with the regulatory guidelines;
  • Preparation and submission to the Head, of the monthly, quarterly, half-yearly and annual reports on compliance risk;
  • Ensuring rectification of gaps identified in the assessment and submitting compliance report to the Head;
  • Drafting of internal policies, processes and documentation to ensure that they are in compliance with all statutory or legal requirements.

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