Location
Mumbai | India
Job description
Job Description
Rev. No: Doc. No: Owner: Emp Id: Email Id: Basic Information Position Title Assistant Manager
Grade/Level Assistant Manager
Department GM Governance & Compliance
Location EH, Mumbai
Business Global Markets
Number of Units in Business N/A
Total Headcount (Direct) Supervised 0
Total Headcount (Direct / Indirect) Supervised 0
Organizational Relationships Position reporting to Vice President - GM Governance & Compliance
No. of Direct Reports 0
Job Purpose - The role is expected to ensure business adherence to the Company's Regulatory and compliance framework
- including managing the end-to-end issuances of the various debt instruments viz Market Linked Debentures (MLDs) and Non-Convertible Debentures (NCDs) ('Structured Products') issued by the group The role is also expected to impart new regulatory change to the stakeholders and monitor compliance with-in regulatory nuances
Key Responsibilities Functional Responsibilities - Reviewing/Drafting various disclosure documents, undertaking for the Structured Products and ensuring timely implementation of various regulatory changes
- Reviewing/Drafting of various Structured Product transaction documents, viz Debenture Trust Deed, Security documents
- Reviewing/Drafting of various Resolutions and Minutes and other related documents pertaining to the Debt instruments
- Designing systems / processes for carrying out various processes with-in the compliance framework
- Responsible for vetting and executing business agreements, like distributor agreement, NDAs etc. and ensuring contractual obligations.
- Handling debt listing process with the Stock exchanges and liaisoning with stock exchange for any listing related queries.
- Compliance reporting pertaining to the issue and listing of the Structured Products regulated by SEBI, MCA, Stock Exchanges, Debenture Trustee Regulations and RBI
- Active Engagement in various tech related developments of the Company
Qualifications Job Requirements Qualified Company Secretary with LLB as added advantage
Experience 2-4 years
Functional Competencies - Well versed with Companies Act, 2013, SEBI (LODR), SEBI (NCS) Regulation Debenture Trustee Regulation applicable for issuance and listing of Non-Convertible Debentures for Corporate and NBFC Companies
- Understanding of various laws viz KYC AML, data protection etc
- Understanding of the various laws, rules & regulations with respect to MCA, SEBI & RBI, Depository guidelines etc.
- Updated on regulatory developments pertaining to Companies Act, SEBI (NCS) Regulation pertaining to issuance of the Non-Convertible Debentures
- Good drafting skills, good working knowledge of MS office
- Experience in handling Secretarial Matters
- Implementing and monitoring compliance on a day-to-day basis
Behavioral Competencies - Good Soft skills
- Solution oriented
- Ability to work with other team members and maintain harmony within the team
Key Interactions Internal Nature or purpose of interaction Sales & Sales Trading Team - To understand different types of products & the underlying and issuances to be handled
Governance - Discussion and co-ordination with group entities Governance Team on various debt issuance matters.
Group Compliance - Collaborating on various new products initiated by Business
Operations Team - Ensuring compliance of operational activity within regulatory and internal timelines
External Nature or purpose of interaction Stock Exchange, Depositories, RTA, RBI, SEBI - Regulatory matters and execution of corporate actions and listing related matters
Debenture Trustee - Regulatory and reporting matters
Job tags
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