Compliance Officer

Keka Technologies Private Limited; Mumbai; On-site; INR 1,500,000 - 2,100,000; Full time

Job summary

Keka Technologies Private Limited is seeking a Compliance Officer to ensure adherence to the Companies Act, SEBI, RBI, stock exchange rules and other applicable laws. You will lead all corporate governance activities, including Board, Committee and shareholder meetings, and supervise agendas, resolutions and minutes.

The role covers statutory, regulatory and periodic filings with regulators and exchanges, advising senior management on regulatory developments and governance, and overseeing

Qualifications

• 5–6 years in professional services with a consulting/advisory firm.
• At least 5 years of financial services experience in the candidate's most recent role.
• Minimum 2 years industry experience in financial services, preferably with a listed company.
• Regulatory exposure across RBI, SEBI, IFSCA, company law and governance, fund formation.
• Experience with NBFCs, asset managers, fund managers or regulated financial services firms.

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

Professional Services

Financial Services

Industry Experience

Regulatory Exposure

Job description

• 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.