Compliance Officer

Job role – Compliance Officer

• •Professional Services Experience: 5–6 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.