Compliance Officer

Abans Finserv; Mumbai; On-site; INR 1,200,000 - 2,200,000; Full time

Job summary

Abans Finserv is seeking a Compliance Officer to manage regulatory compliance, governance, and filings for listed equity and debt securities. The role requires deep RBI/SEBI/IFSCA exposure, strong corporate governance experience, and the ability to advise senior management on regulatory developments.

You will coordinate with regulators, stock exchanges, auditors, and legal counsel, while supporting fundraising, restructurings, and strategic corporate actions from a compliance perspective.

Qualifications

• 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: Experience in NBFCs, asset management companies, fund management entities, investment firms, or other regulated financial services businesses.

Responsibilities

• 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.

Skills

Regulatory compliance

Corporate governance

Fund operations

RBI/SEBI/IFSCA regulations

Financial services knowledge

Job description

Job Description

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.

Requirements