Compliance & Legal Manager

Key Responsibilities

SEBI Intermediary Compliance

• Ensure end-to-end regulatory compliance as applicable to SEBI-registered intermediaries, such as PMS, AIF, Stock Broking, and Depository Participant (DP) operations.
• Handle periodic filings, reporting, and disclosures required under respective SEBI regulations
• Liaise with SEBI, Stock Exchanges, Depositories, and other regulatory/self-regulatory bodies on compliance matters, inspections, and inquiries.
• Monitor and implement changes arising from SEBI circulars, notifications, and amendments across applicable business lines.
• Draft, review, and update internal compliance manuals, SOPs, and policies in line with SEBI requirements.
• Coordinate compliance audits, inspections, and internal reviews specific to intermediary operations.
• Handle investor grievance redressal and SCORES-related compliance, where applicable.
• Work closely with business, risk, and operations teams to embed compliance requirements into day-to-day functioning of PMS/AIF/broking/depository/ RA operations.
• Prepare and present compliance reports/dashboards to senior management and the Board.

Secretarial Functions

• Handle Board Meetings, Committee Meetings, and General Meetings, including drafting notices, agendas, resolutions, and minutes at Group level.
• Manage statutory filings, registers, and records under the Companies Act.
• Coordinate with ROC/MCA/RBI on secretarial matters and ensure compliance with corporate governance and corporate restructuring requirements.

Legal Support

• Draft, vet, and review contracts, agreements, and other legal/regulatory documents.
• Provide legal risk inputs relevant to intermediary operations and business activities.
• Coordinate with external legal counsel as required.

Required Skills & Qualifications

• Qualified Company Secretary (ACS/FCS) from ICSI mandatory.
• 4 - 6 years of relevant experience, with substantial exposure to SEBI or any Regulatory compliance.
• Strong drafting, communication, and stakeholder management skills.
• Ability to independently manage regulatory timelines and liaise with regulators.
• High attention to detail and strong analytical ability.

Preferred / Added Advantage

• A degree in Law (LLB) or relevant legal experience will be an added advantage.
• Familiarity with SEBI/ Stock exchange/ Depository functions, regulatory reporting portals, and compliance management systems.
• Sound working knowledge of SEBI regulations applicable to intermediaries, and related circulars/guidelines will be advantageous.

Compensation

Best in the industry, commensurate with the candidate's experience and expertise