Compliance & Legal Officer

Key Responsibilities:Regulatory Compliance & Corporate Governance

• Ensure end-to-end compliance with SEBI regulations, Companies Act, and listing obligations.
• Drive the IPO lifecycle including structuring, due diligence, regulatory filings, roadshows, listing, and post-listing compliance.
• Lead the registration and regulatory compliance of SM REITs in line with SEBI (REIT) regulations.
• Monitor changes in the legal/regulatory environment and adapt internal controls and policies accordingly.

Legal & Compliance Leadership

• Serve as the designated Compliance Officer, ensuring the organization’s activities are aligned with legal standards and internal policies.
• Develop and oversee compliance policies, procedures, and internal controls.
• Conduct compliance audits, gap assessments, and ensure timely reporting to regulatory authorities.

Team & Stakeholder Management

• Manage and mentor a team of compliance and legal professionals.
• Collaborate cross-functionally with Legal, Finance, Operations, Product, Human Resources and Tech teams to ensure proactive compliance.
• Act as liaison with SEBI, stock exchanges, legal advisors, auditors, and investors for all regulatory matters.

Strategic Advisory & Risk Management

• Advise leadership on corporate governance, investment structures, investor disclosures, and related matters.
• Evaluate and mitigate compliance risks across business verticals and product offerings.
• Drive a compliance-first culture and lead process improvement initiatives.

Qualifications & Skills:

• Qualified Company Secretary (CS) and LLB.
• Minimum 15 years of experience in compliance, legal, and company secretarial roles, preferably within financial services or fintech.
• Hands-on experience with IPO processes, SEBI filings, and regulatory interaction.
• Proven track record as a Compliance Officer or similar leadership role.
• Strong understanding of SM REIT regulations, fund structures, and listing obligations.
• Excellent leadership, communication, and stakeholder management skills.
• High integrity, attention to detail, and the ability to thrive in a fast-paced, regulated environment.

Experience Required: Minimum 15 years in SEBI compliance, IPO processes, strong command on legal matters, agreements, due diligence, corporate secretarial functions, and team leadership
Location: MumbaiReports To: CEO & Founder

Job Types: Full-time, Permanent

Pay: ₹2,000,000.00 - ₹3,000,000.00 per year

Benefits:

• Cell phone reimbursement
• Health insurance
• Paid sick time
• Paid time off
• Provident Fund

Schedule:

• Day shift

Supplemental Pay:

• Yearly bonus

Experience:

• Compliance Officer: 5 years (Required)
• Real estate law: 5 years (Required)
• IPO (End-to-End process): 4 years (Required)
• Dealt with SEBI Regulations: 4 years (Required)

Work Location: In person