Assistant Manager Compliance

Key Responsibilities:

Regulatory Compliance:

• Ensure adherence to applicable SEBI regulations, Companies Act, listing guidelines, and industry standards.

• Monitor changes in laws and regulations, specifically related to debt and equity listings, and update internal policies accordingly.

• Assist in regulatory reporting, filing returns, and coordinating with SEBI, stock exchanges, and other regulatory authorities.

• Prepare documentation required for listing approvals and ongoing compliance.

Legal & Contract Management:

• Draft, review, and vet contracts, agreements, NDAs, MoUs, and other legal documents to safeguard organizational interests.

• Provide legal support on fundraising, investment transactions, and corporate restructuring.

• Liaise with external counsels, regulators, and advisors for legal opinions and representation.

• Manage litigation, dispute resolution, and ensure timely closure of legal matters.

• Maintain statutory records, registers, and ensure compliance with secretarial standards.

Policy Implementation & Governance:

• Develop, implement, and periodically update internal compliance, legal, and governance policies.

• Conduct training sessions for employees on regulatory compliance, corporate governance, and legal obligations.

• Ensure timely dissemination and understanding of policy updates across the organization.

Listing Readiness and Coordination:

• Support the organization in preparing for debt and equity listing by ensuring all compliance and legal documentation is in order.

• Coordinate with legal, finance, and external advisors (merchant bankers, auditors, etc.) to meet pre-listing requirements.

• Assist in drafting offer documents, disclosure materials, and other listing-related paperwork.

Cross-Functional Collaboration:

• Act as a liaison between compliance, legal, finance, and operations teams to maintain smooth workflows and ensure consistent practices.

• Facilitate communication to resolve compliance and legal bottlenecks and manage workloads effectively.

Audits and Reviews:

• Assist in preparing for internal and external audits related to compliance, legal matters, and corporate governance.

• Conduct periodic reviews to identify potential risks, gaps, and areas for improvement.

• Ensure timely closure of audit findings and implement corrective measures.

Risk Management:

• Identify potential legal and compliance risks related to listing and propose effective mitigation strategies.

• Develop and support risk assessment frameworks and monitoring plans tailored to the listing process.

Reporting and Documentation:

• Prepare legal and compliance reports, dashboards, and presentations for senior management and the Board.

• Maintain comprehensive records of legal and compliance activities, investigations, and resolutions in alignment with regulatory expectations.

Advisory Support:

• Provide expert guidance on legal, compliance, and secretarial matters related to listing regulations.

• Support the CFO and management team in strategic initiatives, ensuring readiness for future regulatory milestones.