Experience- 8-10 Years (PQE)
Education- CS qualified
Listed companies experience is must
Preferable, if working experience of NBFC and RBI compliances.
Role & Responsibility-
1. SEBI Laws-
A. Ensuring compliance under the SEBI LODR.
B. Ensuring Insider Regulations, Takeover Regulations, applicable Debt Regulations etc.
C. Co-ordination with Stock Exchanges
2. NBFC Compliances
A. Ensuring NBFC Compliance including quarterly, annually, policies etc.
B. Coordination with RBI officials.
3. Insider Trading Policy
A. End to end compliances of Insider Trading Regulations.
B. Ensuring sign-off of PCTs and proper filing of the same.
C. Ensuring disclosures required under Policy/law and maintaining the handy acknowledgments for the same.
D. Ensuring Window closures and dissemination of the notices to impacted persons.
E. Preparing Monitoring Committee Reports and ensuring its sign off, if required.
F. Ensuring that the incidents, if any reported, are properly highlighted to the Reporting Manager for the corrective action.
G. Implementation of digital tool for insider trading compliances.
4. Companies Act compliances
A. Ensuring compliance under the Companies Act and rules and regulations including filing of forms and returns
B. Agenda identification, compilation & finalization, actionable, deliverables, minutes etc. for the Board and other Committee Meetings of Listed entity.
C. IEPF and shareholder management
5. Corporate Actions
A. Ensuring compliances for issuance of Listing NonConvertible Debentures, Commercial Papers, FCCBs etc.
B. Execution of ESOP requests.
C. Coordination with NSDL, CDSL, RTA etc.
6. Dividend
A. End to end working including:
B. Opening of Bank Account for dividend, transferring the same into Unpaid and IEPF within the deadline, issuing resolutions for the same.
C. Alignment of Bank with RTA and ensuring that the correct data is passed on from one to another.
D. Ensuring the key approvals and intimations.
E. Ensuring the successful dispatch of Dividend to shareholders and taking the status update for undelivered and unpaid warrants.
7. MIS related to Shareholding Pattern etc.
A. Monthly / Quarterly / Periodical shareholding patterns/ Organogram, MIS, receipt and checking.
B. Assisting on day to day queries related to Shareholding Structure etc.
C. Finalisation of monthly shareholding structure and directorship of organization to the top management.
8. Corporate Governance and Senior Management communication
A. Daily/periodic analysis of entire updates from SEBI, MCA and RBI and ensuring communication to team. Assisting in drafting impact analysis to the senior management.
B. Time to time benchmarking of best Corporate Governance practices, application in National/International Awards and ratings, identification and implementation of areas to strengthen.
