Manager - Compliance & Legal

Role Overview:

We are looking for a qualified Company Secretary (mandatory) to join our organization as Manager - Compliance & Legal. The role will primarily focus on SEBI intermediary compliance, covering areas such as PMS, AIF, Stock Broking, and Depository operations, along with Secretarial and Legal support functions.

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.