Job Description

Division

LCD comprises of Legal, Compliance, Global Financial Crimes and Regulatory Relations.

 

The Legal Department provides guidance, requirements and procedures for understanding and complying with the laws, regulations and Firm policies that apply to our businesses. 

 

The Global Compliance Department identifies applicable Compliance Obligations and maintains a Firmwide Compliance Risk management program, including Compliance Risks that transcend business lines, legal entities and jurisdictions of operation.

 

Global Financial Crimes is responsible for the development and governance of the Firm’s financial crime prevention efforts across all regions and business units. Global Financial Crimes is comprised of the Anti-Money Laundering (AML), Sanctions, Anti-boycott, Anti-Corruption (ACG) and Government and Political Activities Compliance (GPAC) programs.

 

The Global Regulatory Relations Group (GRRG) is responsible for strategic and centralized management of the supervisory activities of Client’s regulators and related developments globally, with a focus on regulatory reviews and examinations and continuous monitoring activities. GRRG serves as the central point of contact for the regulatory staff responsible for supervisory activities at Client Stanley entities and for timely reporting to Firm management and other governance or management bodies, as appropriate, on those relationships and supervisory processes, including areas of significant regulatory focus or concern.

 

LCD Center of Excellence – Mumbai (LCD CoE) is a part of Client Stanley’s Global In-house Center, which provides global support to LCD and is an integral part of Firm and LCD strategy.

Team: Corporate Secretarial

 
 

 

 

  • Corporate Secretarial is a global group based in AMER, EMEA and APAC.
  • Corporate Secretarial is a group within the Legal and Compliance Division of Client Stanley.
  • The offshore Legal and Compliance Department in Mumbai is a department of the Legal and Compliance Division and provides support services to onshore corporate secretarial team in the Legal and Compliance Division.
  • This role will form part of offshore Legal and Compliance Department in Mumbai.

Primary Responsibilities (Day Job)

 

  • Assisting in corporate secretarial function for Client Stanley group entities engaged in the financial services under various jurisdictions.
  • Assisting in ensuring high standard of corporate governance, conducting board and committee meetings, post and pre meeting documentation, ensure necessary filing, monitoring compliances, record keeping, provide relevant corporate secretarial support under various jurisdiction.
  • Assisting in maintaining statutory books, including registers of members, directors and secretaries for the group entities;
  • Assisting in drafting minutes, drafting resolutions, lodging required forms and annual returns with company registries for the group entities;
  • Assisting in organizing and preparing agendas and papers for board meetings, committees and shareholder meetings;
  • Maintaining corporate records on entity management platforms such as Blueprint One World;
  • Liaising with Treasury and Legal Entity Controllers on dividend and capital repatriation matters, on a time sensitive basis, where board approval is required;
  • Assisting in legal entity lifecycle management (formation, mergers, dissolutions) and information requests regarding the Firm’s legal entities;
  • Assisting in special projects related to ongoing legal entity framework/oversight initiatives and related work-streams and reorganization projects;
  • Make recommendations on process improvements.

  

Requirements

 

Experience

  • Qualified Company Secretary – Member of Institute of Company Secretary of India (ICSI) and /or LLB / BGL and /or Bachelor Degree (essential);
  • 4 - 5 years post qualification experience in professional firms, banking or financial institutions or listed companies handling corporate secretarial matter (essential);
  • Knowledge of international jurisdictional law (desirable)  

 

Knowledge

  • Prior company secretarial experience, if any
  • Financial services experience
  • Expertise with Blueprint One World
  • Experience in Microsoft Office Suite (Word, Excel, Power Point)
  • Strong interpersonal and analytical skills

 

Skills and Qualities

 

  • Team player who can successfully manage multiple projects and priorities
  • Ability to think independently, form opinions and make decisions
  • Ability to anticipate ahead of time and escalate issues as appropriate
  • Pragmatic and analytical problem-solving skills - candidate needs to consistently apply sound judgment
  • Excellent verbal and written English communication skills – ability to effectively correspond with various groups and senior professionals over email and the telephone
  • Must be able to maintain a high level of organization under pressure
  • Successfully meet established deadline requirements – display efficient time management skills
  • Experience in stakeholder management with excellent interpersonal skills and the ability to work effectively
  • Ability to identify and recommend process efficiencies
  • Attention to detail

    LCD comprises of Legal, Compliance, Global Financial Crimes and Regulatory Relations.

     

    The Legal Department provides guidance, requirements and procedures for understanding and complying with the laws, regulations and Firm policies that apply to our businesses. 

     

    The Global Compliance Department identifies applicable Compliance Obligations and maintains a Firmwide Compliance Risk management program, including Compliance Risks that transcend business lines, legal entities and jurisdictions of operation.

     

    Global Financial Crimes is responsible for the development and governance of the Firm’s financial crime prevention efforts across all regions and business units. Global Financial Crimes is comprised of the Anti-Money Laundering (AML), Sanctions, Anti-boycott, Anti-Corruption (ACG) and Government and Political Activities Compliance (GPAC) programs.

     

    The Global Regulatory Relations Group (GRRG) is responsible for strategic and centralized management of the supervisory activities of Client Stanley’s regulators and related developments globally, with a focus on regulatory reviews and examinations and continuous monitoring activities. GRRG serves as the central point of contact for the regulatory staff responsible for supervisory activities at Client Stanley entities and for timely reporting to Firm management and other governance or management bodies, as appropriate, on those relationships and supervisory processes, including areas of significant regulatory focus or concern.

     

    LCD Center of Excellence – Mumbai (LCD CoE) is a part of Client Stanley’s Global In-house Center, which provides global support to LCD and is an integral part of Firm and LCD strategy.

    Team: Corporate Secretarial

     
     

     

     

    • Corporate Secretarial is a global group based in AMER, EMEA and APAC.
    • Corporate Secretarial is a group within the Legal and Compliance Division of Client Stanley.
    • The offshore Legal and Compliance Department in Mumbai is a department of the Legal and Compliance Division and provides support services to onshore corporate secretarial team in the Legal and Compliance Division.
    • This role will form part of offshore Legal and Compliance Department in Mumbai.

    Primary Responsibilities (Day Job)

     

    • Assisting in corporate secretarial function for Client Stanley group entities engaged in the financial services under various jurisdictions.
    • Assisting in ensuring high standard of corporate governance, conducting board and committee meetings, post and pre meeting documentation, ensure necessary filing, monitoring compliances, record keeping, provide relevant corporate secretarial support under various jurisdiction.
    • Assisting in maintaining statutory books, including registers of members, directors and secretaries for the group entities;
    • Assisting in drafting minutes, drafting resolutions, lodging required forms and annual returns with company registries for the group entities;
    • Assisting in organizing and preparing agendas and papers for board meetings, committees and shareholder meetings;
    • Maintaining corporate records on entity management platforms such as Blueprint One World;
    • Liaising with Treasury and Legal Entity Controllers on dividend and capital repatriation matters, on a time sensitive basis, where board approval is required;
    • Assisting in legal entity lifecycle management (formation, mergers, dissolutions) and information requests regarding the Firm’s legal entities;
    • Assisting in special projects related to ongoing legal entity framework/oversight initiatives and related work-streams and reorganization projects;
    • Make recommendations on process improvements.

      

    Requirements

     

    Experience

    • Qualified Company Secretary – Member of Institute of Company Secretary of India (ICSI) and /or LLB / BGL and /or Bachelor Degree (essential);
    • 4 - 5 years post qualification experience in professional firms, banking or financial institutions or listed companies handling corporate secretarial matter (essential);
    • Knowledge of international jurisdictional law (desirable)  

     

    Knowledge

    • Prior company secretarial experience, if any
    • Financial services experience
    • Expertise with Blueprint One World
    • Experience in Microsoft Office Suite (Word, Excel, Power Point)
    • Strong interpersonal and analytical skills

     

    Skills and Qualities

     

    • Team player who can successfully manage multiple projects and priorities
    • Ability to think independently, form opinions and make decisions
    • Ability to anticipate ahead of time and escalate issues as appropriate
    • Pragmatic and analytical problem-solving skills - candidate needs to consistently apply sound judgment
    • Excellent verbal and written English communication skills – ability to effectively correspond with various groups and senior professionals over email and the telephone
    • Must be able to maintain a high level of organization under pressure
    • Successfully meet established deadline requirements – display efficient time management skills
    • Experience in stakeholder management with excellent interpersonal skills and the ability to work effectively
    • Ability to identify and recommend process efficiencies
    • Attention to detail

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