Associate/Manager/Sr. Manager - Compliance


Mumbai, Maharashtra (Preference for Mumbai based candidates)


CA/CS/MCom/BCom from a reputed College/University


Freshers, candidates with relevant experience are preferred.



Compliance Team (Role & Responsibility but is not limited to )
  • In-depth knowledge of banking law & practice, corporate laws (including but limited to Companies Act, Contract Act, Transfer of Property Act, Stamp Act, Registration Act etc.) SEBI Regulations, Insolvency & Bankruptcy Code & NCLT procedures, RDB and SARFAESI Acts,etc
  • Creation of appropriate charges on the assets of the corporates, i.e. mortgage, hypothecation etc
  • Monitoring of charged securities and ensure compliance of financial covenants from time to time
  • Advise corporates on various regulatory compliances
  • Compliance with SEBI Debenture Trustee Regulations and related Laws.
  • Protecting investors' right and lenders' interest
  • Coordinating with Borrowers & Lenders from time to time
  • Handling all compliance related operational aspects of respective transactions
  • Ensuring compliance with all regulations/directions of SEBI and other regulatory authority, provisions of the Companies Act 2013 etc. pertaining to Debenture/Bond issues.
  • Ensuring creation & perfection of stipulated security as stipulated in Information Memorandum/Prospectus, Debenture documentation etc. and filing of charges with RoC/CERSAI.
  • Monitoring the various obligations performed by Issuer Company imposed by Credit Rating Agency and any other authority.
  • Monitoring the various ratios, DRR, rating and financial condition of the Issuer Company on quarterly, half yearly and yearly basis.
  • Monitoring Collateral Security Ratio with reference to pledged securities.
  • Guiding the Issuer Company regarding the compliance, procedure relating to issuance of Debentures/Bonds, Stamp Duty implication, Security Creation, various SEBI Regulations and Companies Act.
  • Assisting in Internal & External audits.
  • Any other work as assigned by the company on time to time basis.


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