Job role – Compliance Officer

Qualified 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.
Job Description – 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 environment.
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, strategi

📌 Compliance Officer (Mumbai)
🏢 Abans Finserv
📍 Mumbai