Compliance Officer

Abans Finance; Mumbai; On-site; INR 900,000 - 1,500,000; Full time

Job summary

Abans Finance seeks a Compliance Officer to ensure adherence to Companies Act, SEBI and RBI regulations, and regulatory filings. The role leads governance activities, with oversight of meetings, agendas, and minutes, while advising the Board on regulatory developments and compliance implications.

The candidate will manage compliance for listed securities, monitor internal policies, and coordinate with regulators and external partners to support corporate actions and governance improvements.

Qualifications

• 56 years of professional services experience with Dhruva Advisors or a similar consulting/advisory firm.
• Minimum 5 years in the financial services sector, which must be the candidate's most recent role.
• 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.

Responsibilities

• Ensure compliance with Companies Act, SEBI Regulations, RBI guidelines, stock exchange requirements, and other applicable laws.
• Lead governance activities, including Board, Committee, and shareholder meetings, and prepare agendas, resolutions, and minutes.
• Oversee statutory filings with regulators, exchanges, and stakeholders.
• Advise senior management and the Board on regulatory developments and governance matters.
• Manage compliance relating to listed securities, including issuance, listing, and ongoing covenant monitoring.
• Review and implement internal policies and governance frameworks to strengthen controls.
• Monitor insider trading, related party transactions, governance norms, and disclosure requirements.
• Coordinate with regulators, exchanges, depositories, auditors, and external stakeholders.
• Support fundraising, investments, restructurings, M&A from a compliance perspective.
• Provide regulatory guidance on new business initiatives and projects.
• Oversee compliance reviews, internal audits, and regulatory inspections.
• Draft, review, and negotiate legal/regulatory/governance documents.
• Track changes in laws, assess impact, and drive implementation.
• Collaborate with cross-functional teams to promote a culture of compliance and ethical conduct.

Skills

Regulatory exposure

Financial services experience

Corporate governance

Cross-functional collaboration

Job description

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.