Manager – Compliance & Legal - CS

About Company

The company operates in the investment management space, focusing on providing portfolio management and wealth advisory services to clients.

Job Description

About the Role

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.

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.

Mandatory Requirement

Primary Job Profile : Regulatory Compliance

Technical Skills : RBI Compliance, SEBI Regulatory Compliance

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