Legal Officer (Securities Law & Regulatory Compliance)

Location: [Mumbai West]

Employment Type: Full-time

Department: Securities Lawyer

Key Responsibilities:

Securities Law & Regulatory Compliance

Advise on compliance with securities regulations including [SEC rules, Exchange Act, Securities Act, FINRA, MiFID II, SEDAR+, etc.].

Oversee periodic reporting requirements (e.g. 10-K, 10-Q, 8-K, proxy statements) and disclosures for public companies.

Ensure timely and accurate regulatory filings with relevant stock exchanges and securities commissions.

Capital Markets Transactions

Support equity and debt offerings, IPOs, private placements, and secondary offerings.

Draft and review offering documents, prospectuses, underwriting agreements, and disclosure materials.

Liaise with investment banks, regulators, and external counsel during transactional processes.

Corporate Governance

Advise on board and committee matters, governance policies, and compliance with listing requirements.

Assist in drafting and reviewing governance-related documents, including charters, resolutions, and insider trading policies.

Risk Management & Internal Advisory

Monitor developments in securities law and assess impact on the company or clients.

Provide legal advice to internal stakeholders including Finance, Investor Relations, and Compliance.

Support internal training and awareness on securities law and disclosure obligations.

Qualifications:

Juris Doctor (JD), LLB, or equivalent legal degree from a recognized institution.

Licensed to practice law in [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.