Company Secretary - Associate – General Corporate

About Company

The company operates in the Bank/NBFC/Fintech industry, providing digitally enabled lending and financial solutions to salaried individuals.

Job Description

Job Description: 

This role is that of Associate in a growing financial services group, comprising of a registered NBFC and a Fintech / Lending Service Provider (LSP). As Associate-General Corporate, you will be individually responsible primarily for the corporate law compliances as applicable to the group entities, and be part of the team to manage the overall group level compliances, secretarial and legal aspects, including strategic projects, regulatory inspections, audits, business partnerships, etc. This is a dynamic role and individual must be willing to drive the process with complete ownership and adhere to all internal and statutory timelines. 

Key responsibilities shall include (but not be limited to) below aspects: 

Compliance Framework 

• Draft notices, agendas, explanatory statements, and minutes for Board, Committee, and Shareholder meetings. Convene, coordinate, and manage Board & Committee meetings in compliance with the Companies Act, 2013, and Secretarial Standards (SS-1 & SS-2) and ensure their constitution, functioning, and governance thereof are aligned as per applicable laws. Facilitate due diligence, drafting, and filing of transaction-related documents and board resolutions.
• Maintain and update statutory registers, records, and filings under applicable laws.
• Ensure effective communication and coordination between government authorities, regulatory bodies, consultants, auditors, senior management, shareholders, and other stakeholders.
• Prepare and file statutory returns, forms, and directors’ disclosures in accordance with the Companies Act, SEBI regulations, and other applicable laws.  

Coordination with Stakeholders 

• Coordinate with depositories, Registrars and Transfer Agents (RTA), and stock exchanges for share capital-related compliances.
• Support statutory, secretarial, internal teams like credit, treasury, ops, finance, etc. and internal audit processes, ensuring proper documentation and compliance tracking.
• Lead and coordinate secretarial, legal, and regulatory aspects of the IPO process, including: Compliance with SEBI (ICDR) Regulations and SEBI (LODR) Regulations
• Preparation, review, and filing of DRHP, RHP, Prospectus, and related disclosures
• Manage post-IPO and post-listing compliance, periodic disclosures, and investor grievance redressal.
• Handle secretarial and compliance matters related to acquisitions, corporate restructuring, and cross-border transactions.
• Ensure compliance with FEMA and RBI guidelines where applicable.
• Support takeover compliances under SEBI (SAST) Regulations, if required. - 

Testing & Review 

• Develop and implement the annual compliance testing plan.
• Report significant compliance lapses for presenting to Board & Committees and senior leadership.
• Conduct regular compliance reviews and test internal controls across departments. 

Legal 

• Handle legal matters including contracts, compliance, litigation, and regulatory affairs.
• Develop and maintain contract management tool 

Technical & Functional Skills Must-Have: 

• Working knowledge of the Companies Act, 2013 and rules thereunder.
• Practical understanding of Secretarial Standards (SS-1 & SS-2).
• Operational knowledge of SEBI regulations, including SEBI (LODR) and SEBI (ICDR).
• Basic understanding of FEMA and RBI regulations, particularly for NBFC & LSP entity with FDI.
• Familiarity with depository systems, RTA operations, and share capital compliances.
• Strong drafting, communication, and stakeholder coordination skills.
• Good-to-Have: Exposure to IPO compliance and documentation.

Mandatory Requirement

Primary Job Profile : Regulatory Compliance

Technical Skills : Stakeholder mgmt, Secretarial Compliance

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