Company Secretary/ Risk & Compliance

  • Mumbai
  • Confidential
  • 5-10 years
  • 07 Sep 2015

  • Compliance/ Regulatory, Company Secretary/ Secretarial

  • NBFC, Financial Services/ Capital Markets
Job Description

Job Description :

This Role will be responsible for managing the Risk and Compliance, Legal and Secretarial duties.

Following are the job responsibilities for the Role :

Risk Management :

- Conducting Risk Management Committee meetings at monthly frequency to update the committee members on various developments on risk areas.

- Risk Management Surveillance to ensure that :

(i) Appropriate advice is provided to the Advisory clients in line with their risk profile;

(ii) only products approved by the investment committee are recommended to the Advisory clients;

(iii) employees hold valid accreditation (AMFI / NISM certification) at all points of time;

(iv) timely resolution of complaints to the satisfaction of the clients;

(v) client on-boarding documents including KYC documents are in place for each client

(vi) external communications going from front office staff is not violating any policy / confidentiality requirements

- Providing approval for new products/businesses post detailed review of risk areas involved around them.

- Ensure implementation of various risk management policies / processes / manuals released to the staff from time to time and ongoing updation of the policies /processes /manuals, if required.

- Conducting training's for new joinees and existing employees on various risk management policies and procedures

- Review and approve various policies and processes released by other functions

- Co-ordination with Internal Auditors and respective functions to ensure completion of audit in time

Compliance :

- Approve various marketing/product collaterals and contests released by Religare Private Wealth from time to time.

- Monthly review of suspicious alerts generated through an application which filter client names against the suspicious individuals, entities, groups.

- Regulatory updates to the senior management and relevant stakeholders with a view on how it affects our business and introduction of new policies/processes as needed due to this change.

- Review and monitor all activities as detailed in the Investment Advisory regulations of SEBI in the organisation, ensure the people affected are trained regularly and understand the role to be handled. Monitor activities to ensure that RPWM is compliant with the regulation.


- Review and approve various legal agreements including for distribution, sub-distribution and referral tie ups.

- Co-ordination with external and Religare legal advisors to seek legal opinions as and when required.

Secretarial :

- Conduct Board Meetings, Committee Meetings & Annual General Meeting.

- Drafting of Notice, Agenda with explanatory notes including Circular Resolutions and Minutes of the meeting of the Board & Committee of Directors and Shareholders of the Company.

- Drafting & compiling contents of Annual Report viz-a-viz. Directors' Report.

Candidate Requirements for the role :

- Should hold Company Secretary qualification

- Must have managed Risk and Compliance for a Financial services firm

- Must have experience in dealing with Regulatory bodies such as SEBI, AMFI etc.

- Experience in Investment Advisory Regulations implementation will be a plus

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