Role & responsibilities:

1- Company law compliances and related matters of group companies engaged in Financial Services business.

2- Experience in entities dealing as Non-Banking Finance Company, Housing Finance Company, Fund Manager, Merchant Banking or Management, Asset Reconstruction or Asset Management companies.

3- Fund raising programmes including - Public Issue of NCDs, Private Placement, Commercial Paper, Conversion of ICD/Loan into Equity; SEBI Laws & Listing Regulations (Recently managed Public Issue of NCDs) Compliances with SEBI Laws and Listing Regulations in regards to the listed securities of financial services entities.

4- Establish and implementation of Corporate Governance norms and disclosure requirements, in accordance with the listing regulations, etc, to ensure effective dissemination of information to the Stock Exchanges. Stakeholders' Relations (Internal/External).

5- Liaising/dealings with Stakeholders - Includes internal teams and departments. Shareholders at large, Regulatory Authorities VIZ. ROC, Stock Exchanges, RTA, CDSL, NSDL etc.

6- Involved in inspections/due diligence conducted by regulatory authorities' viz., Reserve Bank of India, National Housing Bank, SEBI, for the financial services entitles. Corporate Governance/ process Management.

7- Setting- up,



implementation and monitoring of corporate governance processes and streamlining procedures for compliance with Company law/ SEBI laws or listing requirements. Ensuring end-to-end secretarial and legal compliances for the Company.

8- Implementation of several Board Processes, conducting Board / Committee meetings, general meetings, maintenance and updating of statutory records, etc.

9- Provide relevant information, details and documents for effective decision making at the meeting, including drafting of minutes in well versed English, drafting of replies of various Notices, Legal documentation; Co-ordination and updating of various legal records; held the Key personnel position between the Advocates and Management team.

10- Briefing Senior Councils and Law Firms in various legal matters involving.

11- Having specialized experience in end-to-end management of Investor Education and Protection Fund (IEPF) compliances. Proven expertise in periodic transfer of unpaid/unclaimed dividends and shares to the IEPF Authority, processing IEPF-5 investor recovery claims, liaising with RTAs.

Skillsets and Requirement:

- 8 to 10 years of experience in the NBFC sector and are an ICSI member.
- Experienced in Company Secretary to drive governance excellence and regulatory compliance.

📌 Company Secretary (Mumbai)
🏢 Capri Global Capital (CGCL)
📍 Mumbai