Senior Compliance Specialist Senior Compliance Specialist …

Duff & Phelps Ltd
in Mumbai, Maharashtra, India
Permanent, Full time
Be the first to apply
Duff & Phelps Ltd
in Mumbai, Maharashtra, India
Permanent, Full time
Be the first to apply
Senior Compliance Specialist
Our professionals balance analytical skills, deep market insight and independence to deliver solid, defensible analysis and practical advice to our clients. As an organization, we think globally. We create transparency in an opaque world, and we encourage our people to do the same. That means when you take your place on our team, you'll discover a supportive and collaborative work environment that empowers you to excel. If you're ready to share your perspective with the world, then you can make a real impact here. This is the Duff & Phelps difference.
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

Duff & Phelps is committed to equal opportunity and diversity, and recruits people based on merit.