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Associate/Manager/Sr. Manager - Compliance

Location

Bandra East, Mumbai.

Qualification

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

Experience

Freshers, candidates with relevant experience are preferred.

Vacancies

5

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.

📌 Associate/Manager/Sr. Manager (Mumbai)
🏢 Beacon Trusteeship
📍 Mumbai