Job role – Compliance Officer

- Professional Services Experience: 5–6 years with Dhruva Advisors or a similar consulting/advisory firm.
- Financial Services Experience: A minimum of 5 years in the financial services sector, which must be the candidate's most recent role.
- Industry Experience: At least 2 years of industry experience in the financial services sector, preferably with a listed company or an unlisted subsidiary of a listed company.
- Mandatory Regulatory Exposure:
- RBI regulations
- SEBI regulations
- IFSCA regulations
- Company law and corporate governance
- Fund formation and fund operations

- Preferred Profile: Candidates with experience in NBFCs, asset management companies, fund management entities, investment firms, or other regulated financial services businesses.

– Compliance Officer

- Ensure compliance with the Companies Act, SEBI Regulations, RBI guidelines, stock exchange requirements, and other applicable laws and regulations.
- Lead all corporate governance activities, including Board, Committee, and shareholder meetings, and ensure timely preparation of agendas, resolutions, and minutes.
- Oversee all statutory, regulatory, and periodic filings with regulatory authorities, stock exchanges, and other stakeholders.
- Advise senior management and the Board on regulatory developments, governance matters, and legal implications of business decisions.
- Manage compliance relating to listed equity and debt securities, including issuance, listing,



post-listing obligations, and ongoing covenant monitoring.
- Review and implement internal policies, governance frameworks, and compliance processes to strengthen the Company's control workplace.
- Monitor compliance with insider trading regulations, related party transactions, corporate governance norms, and disclosure requirements.
- Coordinate with regulators, stock exchanges, depositories, trustees, auditors, legal counsel, merchant bankers, and other external stakeholders.
- Support fundraising transactions, strategic investments, restructuring initiatives, mergers and acquisitions, and other corporate actions from a compliance perspective.
- Provide regulatory guidance on new business initiatives, products, and strategic projects to ensure compliance with applicable laws.
- Oversee compliance reviews, internal audits, secretarial audits, and regulatory inspections, and ensure timely closure of observations.
- Draft, review, and negotiate legal, regulatory, and governance-related documentation, including agreements, policies, and official correspondence.
- Track changes in laws and regulations, assess their impact on the business, and drive timely implementation across the organization.

Collaborate with cross-functional teams to promote a strong culture of compliance, ethical conduct, risk awareness, and good corporate governance while supporting business growth.

📌 Compliance Officer (Mumbai)
🏢 Abans Finserv
📍 Mumbai