AVP Compliance - Wealth

Job Title – Company Secretary

Designation – Associate VP Compliance & Secretarial

Location – Gurgaon

Reports to – Board

Span of Control – 1-2 direct Reportees

Job Purpose – The purpose of this role is to ensure compliance with the laws applicable on Bajaj Capital Limited. The role incumbent is expected to ensure timely compliances, renewal of registration with Regulatory bodies, keeping the organisation updated about the changes taking place in regulatory arena from time to time, co-ordinate & guide other functions with respect to regulatory & compliance matters.

Position Summary: We are seeking a dynamic and experienced Company Secretary & Compliance Officer to join our team. The ideal candidate will be responsible for ensuring that the company complies with all legal and regulatory requirements, as well as maintaining high standards of corporate governance.

Key Responsibilities :

1. Legal Compliance :
   • Monitor and ensure compliance with all applicable laws and regulations relevant to the company's operations.
   • Keep abreast of changes in legislation and advise management on necessary actions.
   • Draft, review, and update legal documents and contracts.
2. Corporate Governance :
   • Oversee and ensure adherence to corporate governance practices.
   • Organize and manage board meetings, including preparation of agenda, minutes, and resolutions.
   • Maintain statutory registers and records in compliance with applicable laws.
3. Secretarial Functions :
   • Act as the principal point of contact for the board of directors and shareholders.
   • Facilitate communication between management and the board.
   • Ensure compliance with provisions of the Companies Act and other related laws.
4. Compliance Monitoring :
   • Develop, implement, and manage compliance policies and procedures.
   • Conduct periodic compliance audits and assessments.
   • Provide training and education on compliance matters to employees.
5. Regulatory Reporting :
   • Prepare and submit required reports to regulatory authorities in a timely manner.
   • Coordinate with external legal counsel for specialized advice on regulatory matters.

6.        I nter-Department monitoring and co-ordination.

·        Maintaining cordial inter-department relationship and cater to their requirement on a timely basis.

1. Risk Management :
   • Identify potential areas of compliance vulnerability and risk, and develop and implement corrective action plans.
   • Stay updated on industry best practices and emerging trends in compliance.

Qualifications:

• Qualified Company Secretary (CS) with relevant memberships and certifications.
• Minimum 10-12 years of experience in a similar role, preferably in the financial services industry (Fintech would be preferred)
• In-depth knowledge of relevant legal and regulatory frameworks.
• Strong understanding of corporate governance principles.
• Excellent written and verbal communication skills.
• Ability to work independently and in a team, with strong leadership skills.

Application Process : Interested candidates are invited to send a resume and cover letter to sunainam@bajajcapital.com Please include "Company Secretary & Compliance Officer Application" in the subject line.

Note: This job description is intended to convey information essential to understanding the scope of the position and is not an exhaustive list of skills, efforts, duties, responsibilities, or working conditions associated with it.

Equal Opportunity Employer : Bajaj Capital Limited is an equal opportunity employer. We celebrate diversity and are committed to creating an inclusive environment for all employees.

Regenerate

Qualification

·        A member of Institute of Company Secretaries of India (L.L.B preferred but not mandatory)

·        10-14 years of work experience

·        Strong drafting, written and communication skills

·        Good knowledge of Companies Act and Secretarial Standards

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Knowledge, Skills & Attributes

Role incumbent must have knowledge of applicable laws and regulatory matters

Skills

Functional

Implication & Application of applicable laws: must have practical knowledge of the various laws applicable to the group, including amendments thereto, and ability to analyse & implement the practical aspects of the frequent changes

Co-ordination & Project Management Skills: must have excellent co-ordination skills and should be approachable by the different group to guide them in their functions with respect to compliance & regulatory matters

Interpersonal Skills: must have excellent interpersonal skills and should be approachable by the team & other functions

Ability to work in high pressure environment: Compliance & Regulatory matters are highly time bound and the role incumbent must be able to thrive under stress and help the team cope with it too

Ability to Multitask: must be able to prioritize and handle multiple work responsibilities simultaneously

Industry Knowledge: needs to be well versed with product knowledge and industry trends in order to guide the different groups as far as compliance & regulatory matters are concerned

Professional

Executing with Excellence

Maintains a clear understanding of process, TATs and adherence to high standards of work (there is no scope for error in dealing with regulators)

Identify industry best practices and improve the internal processes and compliance standards

Leading Self

Ability to adapt to changing regulatory & internal working environment for ensuring the company compliance with applicable laws and the group accomplishment of organization goals

Is approachable and accessible and listen with an open mind

Does not succumb to pressure since the role involves dealing with, guiding and advising cross functional leadership personnel

Strategic Thinking

Develops understanding within the organisation related to compliance matters and the need to adhere to high compliance standards

Build support and foster open dialogue of differing views within the team and with other groups

Demonstrates patience

Attributes / Core Behaviours

Entrepreneurial & Ethical

Clearly communicate job expectations and set measurable goals and objectives for individual team member

Treats all team members with respect and fairness

Improve employee retention through people management

Optimizes performance through regular 1-to-1 reviews

Nurturing

Coach and mentor team members to achieve desired goals

Congratulates and praises team members for good performance & behaviour

Participates, supports and guide team members through IDP and career development conversations

Promotes and drives a learning culture for individual growth and development

Responsibility

Always operates proactively to identify challenges within and outside team to maximize performance efficiency

Takes complete accountability of team performance and people experience

Take ownership and accountability of people development and growth

Innovation

Shares and receives feedback from the team & other group on ongoing key projects

Constantly share best practices and articles from other industries and competitors for team personnel development & improving the standards of compliance in the organisation

Collaborate

Develops the team and encourage them to bring out the best in them

Celebrates the success of team members

Provide opportunities for cross training to develop creative approach to problem solving

Education

	Essential	Desirable
Education	CS	LL.B.
Qualifications	NISM	IIIA (Compliance) & VII (Operations & Risk Management)
Experience	Above 10 – 14 years as CS & Compliance Officer	-
Expected CTC	Min -	Max-