Legal Assistant (Securities Law & Regulatory Compliance)

As a Securities Lawyer at a company based in Mumbai West, your role will involve the following key responsibilities: - Advising on compliance with securities regulations such as SEC rules, Exchange Act, Securities Act, FINRA, MiFID II, SEDAR+, etc. - Overseeing periodic reporting requirements like 10-K, 10-Q, 8-K, and proxy statements for public companies. - Ensuring timely and accurate regulatory filings with relevant stock exchanges and securities commissions. - Supporting equity and debt offerings, IPOs, private placements, and secondary offerings. - Drafting and reviewing offering documents, prospectuses, underwriting agreements, and disclosure materials. - Liaising with investment banks, regulators, and external counsel during transactional processes. - Advising on board and committee matters, governance policies, and compliance with listing requirements. - Assisting in drafting and reviewing governance-related documents, including charters, resolutions, and insider trading policies. - Monitoring developments in securities law and assessing their impact on the company or clients. - Providing legal advice to internal stakeholders including Finance, Investor Relations, and Compliance. - Supporting internal training and awareness on securities law and disclosure obligations. Qualifications required for this position include: - Juris Doctor (JD), LLB, or equivalent legal degree from a recognized institution. - Licensed to practice law in the relevant jurisdiction. - 10+ years of experience in securities law at a law firm, regulatory agency, or in-house legal department. - Strong knowledge of public company reporting requirements and securities regulations (e.g., SEC, CSA, ESMA). - Experience in capital markets transactions and corporate finance.,