Chief Compliance Officer-Infrastructure Debt Funding-DEFAULT

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Key Roles & Responsibilities

1. Assisting for compliance with Companies Act, 2013, SEBI (LODR) Regulations /  Insider Trading / Takeover Code / ICDR, filing of Disclosures, documents, returns and forms with Stock Exchanges, ROC, RBI, etc. and Debenture Trustee compliances
2. Assisting for Board and Committee Meetings related activities:

• Notice, Agenda and Minutes of meetings 
• Agenda items / notes and resolutions 
• Summary of minutes

Uploading documents on Meeting management application

Actions / Follow-Ups

• Updation of Actionable Items Reports 
• Follow-ups with stakeholders for implementation / reporting of actionable items 

1. Assisting for Shareholder Meetings / Postal Ballot process
2. Investor Servicing

• Attending to Grievance Redressal (end to end)
• Coordination with RTA
• IEPF Claim / Transfer of Shares/Dividend related process
• SCORES / ODR platform management

1. Assisting in Annual Report documents and Other activities

• Annual Report preparation / drafting Board’s Report / Notice / Corporate Governance Report
• Coordination with stakeholders (MCA, IEPF, SEBI, Stock Exchanges, Depositories, RTA, etc.)
• Data collation
• Fund raising

1. ESOP / SARs / PRSUs: Assisting in

• Activities relating to allotment of ESOP Shares
• Corporate Action documentation
• Listing process 
• ESOP / SARs disclosures

1. Inspection by Regulatory Authorities (including Reserve Bank of India): Co-ordination for compiling data promptly
2. Coordination for Audit / providing data – Secretarial / Statutory

• Collation of data / documents
• Sharing data / documents through FTP, etc.

1. Coordination with various subsidiaries and associate companies for data collation and prompt updation of Bank’s website.