Compliance Officer

Job role Compliance Officer

• Professional Services Experience: 56 years with Dhruva Advisors or a similar consulting/advisory firm.
• Financial Services Experience: A minimum of 5 years in the financial services sector, which must be the candidate's most recent role.
• Industry Experience: At least 2 years of industry experience in the financial services sector, preferably with a listed company or an unlisted subsidiary of a listed company.
• Mandatory Regulatory Exposure:
  • RBI regulations
  • SEBI regulations
  • IFSCA regulations
  • Company law and corporate governance
  • Fund formation and fund operations
• Preferred Profile: Candidates with experience in NBFCs, asset management companies, fund management entities, investment firms, or other regulated financial services businesses.

Job Description Compliance Officer

• Ensure compliance with the Companies Act, SEBI Regulations, RBI guidelines, stock exchange requirements, and other applicable laws and regulations.
• Lead all corporate governance activities, including Board, Committee, and shareholder meetings, and ensure timely preparation of agendas, resolutions, and minutes.
• Oversee all statutory, regulatory, and periodic filings with regulatory authorities, stock exchanges, and other stakeholders.
• Advise senior management and the Board on regulatory developments, governance matters, and legal implications of business decisions.
• Manage compliance relating to listed equity and debt securities, including issuance, listing, post-listing obligations, and ongoing covenant monitoring.
• Review and implement internal policies, governance frameworks, and compliance processes to strengthen the Company's control environment.
• Monitor compliance with insider trading regulations, related party transactions, corporate governance norms, and disclosure requirements.
• Coordinate with regulators, stock exchanges, depositories, trustees, auditors, legal counsel, merchant bankers, and other external stakeholders.
• Support fundraising transactions, strategic investments, restructuring initiatives, mergers and acquisitions, and other corporate actions from a compliance perspective.
• Provide regulatory guidance on new business initiatives, products, and strategic projects to ensure compliance with applicable laws.
• Oversee compliance reviews, internal audits, secretarial audits, and regulatory inspections, and ensure timely closure of observations.
• Draft, review, and negotiate legal, regulatory, and governance-related documentation, including agreements, policies, and official correspondence.
• Track changes in laws and regulations, assess their impact on the business, and drive timely implementation across the organization.

Collaborate with cross-functional teams to promote a strong culture of compliance, ethical conduct, risk awareness, and good corporate governance while supporting business growth.