Senior Compliance SpecialistJob ID 19001253 Mumbai, India Apply now
Duff & Phelps is looking for a Senior Compliance Specialist who will collaborate closely with our attorneys and internal firm services colleagues, business colleagues, outside counsel and vendors, assisting with compliance of various provisions including but not limited to the Companies Act, 2013, Listing Regulations, applicable SEBI Regulations, and the Reserve Bank of India requirements (“RBI”). The role requires the candidate possess a high degree of responsibility, energy, intelligence and maturity. You will perform assigned tasks with accountability, independence, judgment, and meticulousness.
At Duff & Phelps, your work will help protect, restore and maximize value for our clients. Join us and together we’ll maximize the value of your career.
Handle local policy related compliance certifications and policies. Compliances of the various provisions of the Companies Act, 2013, Listing Regulations, applicable SEBI Regulations, RBI
Review of various amendments to Companies Act, 2013, rules thereunder, Secretarial Standards, Listing Regulations, applicable SEBI, RBI and Depository Regulations.
Preparing, drafting, and reviewing resolutions, uploading and filings documents of the Company with ROC, BSE Listing Centre, and RBI.
Ensuring compliance with calling and convening the Board & General Meetings of the board of directors in accordance with various Corporate Secretarial Standards.
Preparing and reviewing various corporate resolutions, meeting minutes, notices, and various other legal and finance related documents as per the provisions of the Companies Act, 2013 and other applicable provisions.
Following up with the Ministry of Corporate Affairs (MCA), Regulators for registration of any forms or other related filings
Liaising with the ROC and other regulators to co-ordinate and supervise maintenance of corporate records required to be maintained under the Companies Act, 2013 and other applicable laws.
Maintaining the minutes of board meetings, committee meetings, as well as general meetings as may be required from time to time.
Maintaining the statutory registers including but not limited to the Register of Directors, Members, Transfers, Directors Shareholding, Disclosures, Charges and investment register;
Drafting, reviewing, and maintaining various declarations, disclosures, statements and other such documents as required to comply with various provisions of the Companies Act, 2013 from time to time;
Annual filing and arranging for the General Meetings, Preparation of Board Report, Annual Return & other returns and its filings including but not limited to:
Notice of AGM: Preparation of Notice of Annual General Meeting;
Board Report: Preparation of detailed Board Report with all the disclosures & details as per the requirement of Companies Act, 2013. Co-ordination with Statutory Auditors of the Company for their queries under the Companies Act, 2013 for Audit of Annual Accounts of the Companies covered;
Annual Return: Preparation & filing of Annual Return with all the necessary exhaustive disclosures & attachment in Form MGT- 7 as on close of Financial Year; Preparation of necessary eform AOC- 4 for filing of Financial Statements & other documents with the Registrar for filing of Financial Statement with BSE and ROC and other related forms
Working with compliance services providers for execution and review of compliance work.
Other compliance related tasks as and when required to maintain compliance with the local laws.
Bachelor’s degree in a law or business-related field
Strong preference for a candidate with Company Secretary education (LLB would be an added advantage)
3-6 years of work experience in compliance
SEBI compliance certificate holder or open to obtaining this qualification
Strong PC Skills, Microsoft Office applications
Familiarity with and understanding of corporate records such as certificates of formation, operating agreements, minutes, and resolutions.
Ability to work independently and efficiently in a fast-paced environment
Must be capable of operating in tandem with colleagues in a highly collaborative fashion and execute assigned tasks with precision, thoughtfulness and attention to detail.
Strong verbal and written communication skills
In order to be considered for a position at Duff & Phelps, you must formally apply via careers.duffandphelps.jobs
Duff & Phelps is committed to equal opportunity and diversity, and recruits people based on merit.
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At Duff & Phelps, you’ll be encouraged to reach your peak—and then push further. We’ll complement your current skill set with a personalized growth and development plan.
With more than 2,500 employees working in major business centers across North America, South America, Europe and Asia , we provide clients with both the local knowledge and the global resources they need.
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