Job Description

Summary of Role
The incumbent will be an important part of Neuberger Berman’s initiative to establish a subsidiary in India (“NB India”). He/She will be a member of Neuberger Berman’s legal and compliance team (“NB Asia Legal & Compliance”), which covers the firm’s business activities and operations across the Asia Pacific (ex China, Japan and Korea) region (“NB Asia”), and will report to the Head of Legal for NB Asia, who is based in Hong Kong. Although primarily focused on company secretarial and compliance matters relating to NB India, as a member of the NB Asia Legal & Compliance team, the incumbent will be a part of and work closely with Neuberger Berman’s Global Legal and Compliance team on matters related to the development, implementation and ongoing maintenance of NB Asia’s legal and compliance framework, as well as partnering closely with the respective regional teams within NB Asia.
As part of an initially small office, the incumbent will also be expected to handle office management, finance and other miscellaneous matters with support from regional offices.
Responsibilities:

• Appointment of Whole Time Company Secretary for NB India as required under Section 203 of Companies Act for handling secretarial and corporate compliances applicable to NB India and regional affiliates
• Advising on corporate governance practices and compliances of corporate governance norms as prescribed under various corporate and other business laws and regulations and guidelines
• Responsible for filing, registering any document including forms, returns and applications
• Coordinating board/general meetings and follow-up actions including preparing all notice/board and shareholders packs
• Acting as the custodian of corporate records, statutory books and registers
• Signing of annual return where necessary and responsible for other declarations, attestations and certifications under the Companies Act, 2013
• Will be responsible to represent NB India and other connected persons before various boards and forums including but not limited to Registrar of Companies, Tax Tribunals, Consumer Forums and Other quasi-judicial bodies and Tribunals
• Handling company secretarial work for group companies in the region
• With assistance from external counsel, monitoring new rules, regulations and laws to determine their relevance to the Company’s business activities and to advise on the follow up actions to address them, where applicable.
• Conducts reviews of business activities for adherence to regulatory requirements, internal policies and procedures.
• Handles interaction with regulators and ad hoc or recurring regulatory submission.

• Serves as local subject matter expert on India rules and regulations and internal policies and procedures.
• Works very closely with finance and other regional teams, when necessary.
• Office management, finance and other miscellaneous matters with support from regional offices
• Frequent interaction with executive management

• Undergraduate degree
• Qualified member of the Institute of Companies Secretaries of India (ICSI)
• Business level fluency in reading, writing and speaking English is a prerequisite.
• 3 years’ experience in the fund management industry and/or acting as a company secretary.
• A sound understanding / knowledge of the relevant laws, regulations, rules, codes and guidelines in India is preferred.
• Strong interpersonal and communication skills, with a confident, engaging and outgoing personality, and an enthusiastic team-player.
• Strong organizational and time management skills, with an ability to multi-task and a keen attention to detail.
• Unquestionable ethics and integrity, with the ability to apply a commercial, pragmatic and/risk-based approach.
• Self-motivated, willing to use initiative and able to work autonomously, with a minimum level of supervision (if needed).