Aquis Search
Website:
aquissearch.com
Job details:
Job Title: DGM, Secretarial & Compliance (NBFC & AIF)
Location: Mumbai
Experience: 10 to 15 years PQE
Qualification: ACS / FCS (ICSI member). LLB is a plus.
Aquis Search is partnering with a well-established, diversified business group headquartered in Mumbai. The Group is seeking a senior Secretarial and Compliance professional to manage regulatory compliance across its NBFC and AIF entities, manage board and committee governance end to end, and support corporate restructuring and fundraising.
Key Responsibilities
NBFC and RBI Compliance
• Own end-to-end compliance under RBI regulations applicable to Base Layer NBFCs
• Manage RBI filings, periodic returns, fair practices code, and responses to inspection observations and regulatory queries
• Track regulatory developments and present impact assessments to senior management and the Board
AIF and SEBI Compliance
• Oversee compliance under the SEBI (AIF) Regulations
• Support scheme launches, investor onboarding, PPM filings, capital calls and distributions
• Coordinate with trustees, custodians, fund accountants and regulators
• Ensure timely reporting to the Trustee, SEBI and investors
Board Governance and Secretarial
• Run the full cycle for Board, Committee (Audit, NRC, Risk, CSR) and General Meetings
• Prepare agendas, notes and minutes of a high standard
• Maintain statutory registers and records, and manage ROC/MCA filings
Corporate Restructuring and Transactions
• Handle mergers, demergers, capital restructuring and debt/equity fundraising
• Oversee due diligence, transaction documentation and execution of investment agreements alongside external counsel
Candidate Profile
• Qualified Company Secretary (ACS/FCS), ICSI member; law degree is a plus.
• 10 to 15 years of post-qualification experience across Financial Services, NBFC and AIF / Asset Management / Private Equity
• Strong command of the Companies Act, SEBI regulations, RBI NBFC directions and FEMA
• Comfortable engaging independently with Board members, regulators and senior leadership
• Experience leading and developing a team of secretarial and compliance professionals
If this sounds like you, please click apply or drop a note on aloysiusparmar@aquissearch.com for a confidential chat.
Click on Apply to know more.