192 Roc Compliance Jobs - Page 5

Job Title: Junior Company Secretary Department: Legal & Secretarial Location: Corporate Office Reporting To: Finance Head / Senior Company Secretary Company: Canpac Trends Pvt. Ltd. Website: www.canpac.in Budget: 6.5 to 7.5 LPA (CTC) Job Summary: Canpac Trends Pvt. Ltd. is looking for a motivated and detail-oriented Junior Company Secretary to join our Legal & Secretarial team. The selected candidate will assist in ensuring statutory and regulatory compliance as per the Companies Act, 2013, and other applicable corporate laws. This role is ideal for someone eager to learn legal drafting, agreement analysis, and support in M&A activities in a fast-paced manufacturing environment. Key Responsibilities: Maintain statutory registers, records, and filings as per the Companies Act, 2013. Draft agendas, notices, and minutes for Board, Committee, and General Meetings. Ensure timely filing of ROC returns and other forms with the MCA. Assist in preparation of Annual Returns, Directors Reports, and statutory documentation. Support legal drafting of agreements, input on clause structuring, and review of pros & cons of different clauses. Understand signing authority requirements and implications in legal agreements. Support in drafting and maintaining internal legal documents and policies. Coordinate with internal teams on compliance matters. Assist in compliance areas related to FEMA, RBI, and industry-specific laws. Prepare Excel-based MIS reports and maintain organized records. Assist in M&A activities , including documentation, coordination, and due diligence support. Stay updated with relevant regulatory changes and advise the Senior CS/Finance Head. Qualifications & Experience: Qualified Company Secretary (ACS) with ICSI membership. 02 years post-qualification experience, ideally in a private limited or manufacturing company. Knowledge of Companies Act, FEMA, MCA portal, and corporate regulatory framework. Interest or experience in legal drafting, contracts, and M&A will be preferred. Good communication, drafting, and analytical skills. Proficiency in MS Office, particularly Excel and PowerPoint. Key Competencies: High attention to detail and strong organizational skills Integrity and discretion in handling confidential information Ability to work independently as well as in a team Strong willingness to learn and grow in legal, secretarial, and business compliance domains Proactive, responsible, and professional attitude

Candidates ok to travel to any of the below-mentioned locations can directly share their resume at hr3@infinzi.in Location: Churchgate, CST, Fort, Lower Parel, Worli - Mumbai, India No of Vacancies - 15 Salary - 5 to 7 LPA Key Responsibilities : Accounting and Financial Reporting : Oversee and manage the preparation of accurate and timely financial statements, including balance sheets, income statements, cash flow statements, and other financial reports. Ensure month-end and year-end closings are completed in compliance with applicable regulations. Maintain a detailed record of all accounting transactions and ensure proper reconciliation of all accounts. Tax Compliance & Planning : Ensure timely and accurate filing of all tax returns, including income tax, VAT, GST, payroll tax, and any other applicable taxes. Stay updated with changes in tax laws and regulations, and ensure compliance with local, state, and federal tax requirements. Review and assess tax risks and opportunities, making recommendations for minimizing tax liabilities and optimizing tax strategies. Tax Audits & Disputes : Manage and coordinate with external auditors during annual audits, ensuring all tax-related matters are addressed. Handle any tax-related disputes, correspondence, and issues with tax authorities. Assist in the preparation of documentation and data for tax audits, tax filings, and other regulatory requirements. Internal Controls & Process Improvement : Develop and implement effective internal controls to ensure the accuracy and integrity of financial reporting and tax compliance. Continuously review accounting and tax processes to identify areas for improvement and implement best practices. Team Leadership & Development : Lead and supervise the accounting and tax team, providing guidance, support, and training as necessary. Foster a collaborative and efficient work environment, ensuring the team meets deadlines and adheres to company policies. Financial Analysis : Provide financial analysis to management regarding the companys financial position, tax efficiency, and performance. Support management in making informed financial decisions by offering tax-effective solutions. Budgeting & Forecasting : Assist in the preparation of the companys budget and forecast, taking into account any tax implications. Ensure that tax planning is aligned with the companys overall financial goals and projections. Qualifications: - Education : Bcom/ Mcom/ MBA in Finance/ Inter CA - Experience : - 4+ years of experience in accounting, financial management, or related roles, preferably in an outsourcing or CA firm - Proven experience in managing large teams and complex accounting projects. - Client-facing experience with a focus on service delivery and relationship management. - Skills : - Strong knowledge of Indian and international accounting standards (GAAP/IFRS). - Proficiency in accounting software (e.g., Tally, QuickBooks, Zoho, SAP). - Excellent leadership and communication skills. - Strong problem-solving ability and analytical mindset. - Ability to manage multiple clients and projects concurrently. - High attention to detail and accuracy.

Ensure compliance with SEBI LODR, Companies Act & exchange regulations Organize & manage Board Meetings, AGMs, & EGMs preparation of agendas & minutes Handle ROC filings, maintain statutory registers, company records Liaise with auditors & investors Required Candidate profile - 2 year or more with a Limited company or CS firm - Handled compliance, advisory assignments - Review corporate records, agreements & filings to identify legal and regulatory risks

- Handling of all ROC compliance under the Companies Act 2013. - Maintenance of statutory registers,records,etc. - Drafting of agenda,notices,minutes for the board,general meetings and organizing the said meetings. - Preparing annual reports and returns of the organization. - Vetting of legal documents,agreements and contracts of the organization. filing of various forms - Finance-related work and other statutory-related work

-Assisting in the assessment of direct and indirect tax -Working for GST and Income Tax Returns -Preparation of monthly TDS and monthly reconciliation of TDS and GST -Processing foreign outward remittances

We are looking for Finance Manager for a startup IT product company in Chennai If interested, apply to serena@hr-central.in Role : To manage the end-to-end listing process and ensure timely, accurate, and compliant statutory reporting as per SEBI, ROC, and Stock Exchange regulations. Responsibilities: A. Listing Process (IPO/SME IPO): Coordinate with merchant bankers, legal advisors, auditors, and registrars for IPO readiness Assist in preparation and vetting of DRHP, RHP, and listing documentation Ensure due diligence, statutory disclosures, and financial data validation Liaise with regulatory bodies (SEBI, BSE/NSE, ROC) for approvals and clarifications Track timelines, checklist items, and pre/post-listing compliance requirements Coordinate with CDSL/NSDL for demat connectivity and share allotment processes B. Statutory & Exchange Reporting: Prepare and file quarterly, half-yearly, and annual financial results under SEBI LODR Ensure disclosures under Regulation 30 and 33 of SEBI LODR Prepare Board and Committee presentations for financial/statutory reporting File necessary forms with ROC (MCA21 portal) like AOC-4, MGT-7, PAS-3, etc. Ensure timely compliance with XBRL, secretarial audit, and listing regulations Maintain updated compliance registers and statutory documents C. Liaison & Governance: Interface with statutory auditors, internal auditors, and secretarial auditors Support board governance by preparing notices, agendas, and minutes for meetings related to listing and statutory compliance Ensure adherence to Companies Act 2013, SEBI ICDR, LODR, and FEMA (if applicable) Skills : CS with at least 3 years experience in Reporting to stock exchanges is mandatory Immediate to 30 days max notice period Excellent communication skills regards Serena serena@hr-central.in

Data Maintenance/ Assistance to the department Monitoring and maintaining all documents related to vehicles Checking the timely updation of portals Processing the timely renewal of insurance policies Timely preparation of reports for the department as per requirement Assisting the legal department in maintaining MIS for license numbering agreements, printing of various agreements etc Plan and record of stamp papers related to insurance Coordinating for arbitration meetings Maintaining status for file application of Trade-Mark Performing tasks as and when assigned by the management To assist in preparation of agenda , AGM To ensure payment of seating fees to non-executive directors

Preparation filing of various monthly, quarterly, half yearly annually returns of RBI Preparation of RBI Day to day compliance Good knowledge of RBI Regulatory Filings. Preference given to a candidate who have experience in Audit. Required Candidate profile CA With Good experience in RBI Regulatory Knowledge of Rbi returns like DNBS01, DNBS03, DNBS4 Etc. Proficiency in SAP. Excellent written and verbal communication skills info.aspiringmantra@gmail.com

Responsibilities: * Manage direct & indirect taxes: compliance, returns, audits * Ensure GST & ROC adherence: filing, payments, inspections * Lead corporate tax strategy: planning, reporting, defense Accessible workspace Special parking for expecting mothers Flexi working Work from home Food allowance Over time allowance Travel allowance Accidental insurance Mobile bill reimbursements

Role & responsibilities - Assist in Company law matters such as Company/LLP Formation and Annual Compliances - Assist in FEMA matters such as Reporting compliances and drafting applications seeking AD/RBI Approval - Assist in FEMA Audits by verifying compliances and preparing Audit Report Preferred candidate profile Candidate must have prior work experience of handling Company Law and FEMA matters Candidate must be well versed with English speaking and drafting skills

Role & responsibilities Candidates must have at least 5 years of post qualification of CS experience. Candidates must have experience with Companies Act, LODR regulations and Secretarial Standards. Experience on board, Committees and General Meeting Compliances. Must have experience with FEMA Regulations, RBI Guidelines, Security control regulation Act/ guidelines. Knowledge of corporate governance and statutory compliance. Experience on Statutory Registers under the Companies Act, filing of statutory forms with ROC, MCA; E-filing (MCA 21, compliances Digital signatures, DIN etc.) Compliance with all the Related Party Disclosures/ MSME/ DPT. Candidates must have experience with handling matters related to Inter-Corporate loans and Investments. Interaction with external and internal auditors and other government bodies.

Assist with secretarial compliance activities in accordance with applicable laws and regulations. Maintain statutory registers and records as required under the Companies Act and other relevant statutes. Prepare and organize documentation for Board and Committee meetings, including agendas, minutes, resolutions, and related materials. Ensure routine Registrar of Companies (ROC) compliance, including timely filing of e-Forms. Support the Bank with specific secretarial compliance requirements as needed on a case-by-case basis. Requirements Provide advisory and consultation support to the Managing Director (MD) and Chief Financial Officer (CFO) as and when required. Handle corporate governance matters to ensure adherence to internal policies and external regulations.

corporate governance, ensure legal compliance, manage Board/shareholder meetings, handle statutory filings, liaise with regulators, provide legal advisory and strengthen internal controls. Maintain compliance with SEBI regulations,stock exchange req.

Roles and Responsibilities Manage financial accounting, taxation, and auditing functions for the organization. Ensure compliance with direct and indirect tax laws, including GST filings and TDS returns. Prepare balance sheets, MIS reports, ROC compliances, and other financial statements accurately. Oversee internal controls to ensure smooth operations of the company's finance department. Provide guidance on financial matters to senior management. Preferred Male Candidates Only. Preferred Delhi/NCR candidates Only. Interested candidates may call on 9289937447 & mail @ hr@bgcc.org.in

5 days Working Proprietary Trading | Stock Broking |Capital Markets Derivatives and Margin Mechanics SEBI & Taxation Compliance Treasury & Liquidity Management Internal Controls, Audit & Risk Compliance Financial Automation, MIS, and Dashboarding Required Candidate profile Financial Management Compliance & Risk SEBI, taxation laws, and ROC requirements Capital Allocation & Treasury Strategic Finance & MIS Stakeholder Management

The Finance manager is responsible for overseeing general accounting operations, ensuring compliance with accounting principles and regulations, and providing accurate financial reporting. The role requires strong analytical skills, attention to detail, and the ability to work independently and collaboratively within the finance team. Key Responsibilities and Mandatory requirements: Manage financial statements, including balance sheet finalization, income statement preparation, and cash flow management. Ensure timely filing of tax returns (IT Returns) and other compliances such as GST audit, GST compliance, PF, Professional Tax, ESI, ROC Compliance. Oversee TDS calculation and submission to ensure accurate tax deductions from employee salaries. Utilize software like Tally Prime or Zoho Books for efficient accounting processes. Provide guidance on financial planning and analysis to support business decisions. Exposure to international transactions and foreign remittances. Prepare and review journal entries, account reconciliations, Ensure timely monthly, quarterly, and year-end closings. Coordinate with external auditors and assist with audit requirements. Maintain fixed asset registers and depreciation schedules. Review accounts payable/receivable entries and ensure timely collections and payments. Supervise junior accounting staff and assist in their development. Preferred candidate profile: Candidate having experience in heading finance and accounts department in a Rental company or service industry will given preference. Expert in TDS, GST and other statutory compliances, ROC compliance, financial statements will be preferred. Key Skills TDS Gst Financial Statements ROC Compliance Cash Flow Management Balance Sheet Finalisa... Accounts Finalisation Income Tax Return TDS Return Gst Return PF Gst Audit Gst Compliance TDS Calculation Professional Tax ESI PT Tally Prime Zoho Books

Job description Role: - Asst. Manager/Deputy Manager-Company Secretarial # HR Spoc LinkedIn: - https://www.linkedin.com/in/aryan-raj-76247175/ Job Description Job Profile Understanding of governance framework and ensure compliance of the agreed corporate governance process with no surprise culture. Good understanding of Companies Act, Companies Rules, FEMA and other corporate laws, IRDAI Act. Compliance with provisions of the Corporate Laws, Secretarial Standards FEMA, Insurance Regulatory and Development Authority Regulations and Circulars and guidelines, etc. Compliance with the provisions of Joint Venture Agreement, Memorandum and Articles, Board Terms of Reference Preparation and circulation of agenda of meetings of the Board of Directors, Audit Committee, Investment Committee, other Committees and Shareholders. Preparation and circulation of agenda of meetings of various committees of management of the Company Drafting of minutes of various meetings and circulation thereof Ensure statutory filings with the Registrar of Companies and RBI. Maintenance of statutory records, registers Preparation of Directors Report, Management Report, etc to be published in the Annual Report of the Company. Provide proactive support to Secretarial, Compliance & legal on interpretation of statutory provisions and compliance thereof. Liasoning with various departments and supplying timely information and details. The Person Good analytical skills. Effective communication skills, both oral and written. Preference shall be given to the candidate having insurance/ financial service background. Qualifications & Experience Professional qualification - CS (LLB preferable) Post qualification experience 2 to 3 years What working at Aviva offers? We offer a competitive compensation package where you'll be rewarded based on your performance and recognized for the value you bring to our business. We also offer you: Support, coaching and feedback from some of the most engaging colleagues around Opportunities to develop new skills and progress your career The freedom and flexibility to handle your role in a way thats right for you Why Aviva Dynamic and collaborative team in a supportive and innovative work environment. Opportunities for professional growth and development. Competitive compensation and benefits package. Be a part of shaping the future of insurance in India About us: - https://en.wikipedia.org/wiki/Aviva Aviva Fortune 500 Company:- https://fortune.com/company/aviva/global500/ Website: - https://www.avivaindia.com/ # HR Spoc LinkedIn: - https://www.linkedin.com/in/aryan-raj-76247175/

Industry :- BFSI Head Office Location :- Bangalore 1. Role Purpose Handling Reserve Bank of India (RBI) Compliances applicable to NBFC-Non-Deposit-Systematically Important (Middle Layer NBFC) & other compliances applicable to the Company. Key Accountabilities :- Ensuring compliance to RBI regulations applicable to NBFCs Develop and support implementation of company policies and regulations Design and monitor control systems to deal with violations of legal rules and internal policies Regularly assess the efficiency of control systems and recommend effective improvements Review and evaluate company procedures and reports to identify hidden risks or common issues Coordinate with different department managers to review all departmental compliance policies Perform periodic compliance audits on company procedures and processes Implement procedures to ensure compliance with regulations and advise internal departments on how to meet compliance requirements Lead employee training sessions on legal and compliance issues Assist in handling compliances under Companies Act / SEBI & e-filing Assist in organizing Board / Committee Meetings Handling any other compliances as may be applicable to the Company For more details or to apply for this opportunity, email your updated Resume or CV on nitish.o3hire@gmail.com

Candidates ok to travel to any of the below-mentioned locations can directly share their resume at hr3@infinzi.in Location: Churchgate, CST, Fort, Lower Parel, Worli - Mumbai, India No of Vacancies - 15 Salary - 5 to 7 LPA Key Responsibilities : Accounting and Financial Reporting : Oversee and manage the preparation of accurate and timely financial statements, including balance sheets, income statements, cash flow statements, and other financial reports. Ensure month-end and year-end closings are completed in compliance with applicable regulations. Maintain a detailed record of all accounting transactions and ensure proper reconciliation of all accounts. Tax Compliance & Planning : Ensure timely and accurate filing of all tax returns, including income tax, VAT, GST, payroll tax, and any other applicable taxes. Stay updated with changes in tax laws and regulations, and ensure compliance with local, state, and federal tax requirements. Review and assess tax risks and opportunities, making recommendations for minimizing tax liabilities and optimizing tax strategies. Tax Audits & Disputes : Manage and coordinate with external auditors during annual audits, ensuring all tax-related matters are addressed. Handle any tax-related disputes, correspondence, and issues with tax authorities. Assist in the preparation of documentation and data for tax audits, tax filings, and other regulatory requirements. Internal Controls & Process Improvement : Develop and implement effective internal controls to ensure the accuracy and integrity of financial reporting and tax compliance. Continuously review accounting and tax processes to identify areas for improvement and implement best practices. Team Leadership & Development : Lead and supervise the accounting and tax team, providing guidance, support, and training as necessary. Foster a collaborative and efficient work environment, ensuring the team meets deadlines and adheres to company policies. Financial Analysis : Provide financial analysis to management regarding the companys financial position, tax efficiency, and performance. Support management in making informed financial decisions by offering tax-effective solutions. Budgeting & Forecasting : Assist in the preparation of the companys budget and forecast, taking into account any tax implications. Ensure that tax planning is aligned with the companys overall financial goals and projections. Qualifications: - Education : Bcom/ Mcom/ MBA in Finance/ Inter CA - Experience : - 4+ years of experience in accounting, financial management, or related roles, preferably in an outsourcing or CA firm - Proven experience in managing large teams and complex accounting projects. - Client-facing experience with a focus on service delivery and relationship management. - Skills : - Strong knowledge of Indian and international accounting standards (GAAP/IFRS). - Proficiency in accounting software (e.g., Tally, QuickBooks, Zoho, SAP). - Excellent leadership and communication skills. - Strong problem-solving ability and analytical mindset. - Ability to manage multiple clients and projects concurrently. - High attention to detail and accuracy.

Job Roles and Responsibilities Handling listing compliance of SEBI LODR, SEBI PIT Reg, SEBI SAST Reg. Handling day to day compliances under Companies Act,2013. Record maintenance as per SEBI & Companies Act. Drafting resolutions, notices, minutes of Board Meetings, General Meetings (AGM/EGM), and other routine secretarial documents. Preparation and timely filing of statutory forms and annual returns (MGT-7, AOC-4, etc.) with the Ministry of Corporate Affairs (MCA). Assisting in compliance and documentation for listed, public, and private limited companies. Handling FEMA filings like ECB, FC-GPR, and other related compliances. Managing share-related actions and charge filings (creation, modification, satisfaction) as per requirements. Maintaining statutory registers and records under the Companies Act. Coordinating with stakeholders, regulatory authorities, and consultants. Assisting in secretarial audits, due diligence, and compliance reports. Should be familiar with NSE/BSE/SEBI/MCA/RBI/NSDL/CDSL websites and their reporting portals for reporting on behalf of the Company. Preferred candidate profile Qualification: C.S. with ICSI membership Number Experience: 5-7 years of relevant experience in company secretarial work Knowledge of MCA, SEBI, FEMA compliances, and applicable corporate laws Proficient in MS Office and MCA portal filing Good drafting, communication, and organizational skills Perks and benefits Provident Fund (PF) Employees State Insurance (ESI) Gratuity Sick / Casual Leave

Roles and Responsibilities Provide secretarial support to the Board of Directors, ensuring compliance with company law and regulatory requirements. Manage corporate governance framework, including policies, procedures, and best practices. Ensure timely filing of statutory documents with relevant authorities such as ROC, SEBI, etc. Coordinate meetings of the Board of Directors and take minutes to ensure effective communication among members. Maintain accurate records of company's legal documents,Statutory Registers ,Policies agreements, and contracts. Legal matters to be attended as and when required Coordinate with shareholders and transfer agents Overall management of all activities pertaining to secretarial and legal compliances Desired candidate Profile Pleasing personality with good spoken and written English Willingness to learn and grasp new ideas and quest for gaining all round experience Ability to execute the above mentioned responsibilities smoothly and efficiently Knowledge of accounts in depth would be an added advantage but is not a prerequisite Knowledge of Listed company compliances in depth is a prerequisite

: Job Title: Company Secretary Location: Gurugram Industry: Housing Finance Experience Required: 8+ Years (Post Qualification) Team Management Experience: Required Key Responsibilities: 1. Statutory Compliance & Governance Ensure compliance with Companies Act, SEBI Regulations, RBI guidelines applicable to Housing Finance companies, and other statutory requirements. Conduct and manage Board Meetings, Annual General Meetings (AGMs), Extra-Ordinary General Meetings (EGMs), and Committee Meetings (Audit, CSR, NRC, etc.). Maintain statutory registers, records, and filings with ROC, MCA, and RBI. 2. Secretarial & Legal Documentation Draft notices, agendas, resolutions, and minutes for board and committee meetings. Prepare and file annual returns, director disclosures, and other regulatory filings. Ensure timely compliance and disclosures under applicable laws and regulations. 3. Corporate Governance & Advisory Advise the Board on best governance practices, regulatory changes, and strategic legal matters. Support the Board in ensuring good governance standards and adherence to policies. 4. Team Leadership & Coordination Lead and manage the secretarial team to ensure timely execution of deliverables. Guide and mentor junior team members in handling legal and secretarial responsibilities. Coordinate with internal departments and external stakeholders like auditors, lawyers, and regulators. 5. RBI & Housing Finance Regulatory Compliance Ensure compliance with RBI Master Directions and NHB guidelines specific to housing finance companies. Handle inspections, correspondence, and reporting requirements related to RBI/NHB. Desired Candidate Profile: Qualified Company Secretary (CS) from ICSI. Minimum 8 years of post-qualification experience in a financial services/NBFC/housing finance company. Prior experience in leading a team is mandatory. Strong knowledge of Company Law , RBI Regulations , SEBI guidelines , and Governance Practices . Excellent communication , drafting , and stakeholder management skills. Preferred Attributes: Exposure to housing finance/NBFC sector is highly preferred. Proficient with MCA21 , compliance tools , and legal documentation software . Ability to work under deadlines and in a fast-paced regulatory environment.

COMPANY SECRETARY Roles and Responsibilities: 1. Organize and facilitate board meetings, including scheduling, preparing agendas, and minute-taking. Ensure that board procedures are followed rigorously. Oversee the companys compliance with legal and regulatory requirements. This includes updating and managing statutory books, such as registers of members, directors, and secretaries. Advise the board on governance matters, helping to ensure that the company adheres to the highest standards of corporate governance. Manage shareholder relations and communication, including preparation and presentation of annual reports and organising the companys Annual General Meeting (AGM). Maintain essential company documents such as the certificate of incorporation, legal documents, statutory registers, and meeting minutes. Update and administer company policies to ensure they comply with legal standards and reflect the company’s objectives. Assist in financial reporting and auditing processes, ensuring accuracy and compliance with the financial dynamics of the corporate. Provide legal guidance on matters affecting the company. Handle various corporate secretarial duties, including filing corporate returns, maintaining company seals etc. Participate in identifying and managing corporate risks, ensuring that the company has adequate risk management practices in place. Skills Requirements : 1. Strong understanding of corporate law and regulatory frameworks Deep understanding of governance principles ethical practices, and the ability to implement policies that enhance transparency and accountability. Must uphold the highest standards of integrity and discretion Maintaining confidentiality and handling confidential matters with utmost care. Analytical skills for interpreting legal provisions, assessing risks, and providing strategic advice. Should be able to analyse complex legal and regulatory issues and propose effective solutions. Strong interpersonal skills to facilitate effective collaboration and communication, contributing to a positive corporate culture. Should possess strong problem-solving skills to address issues promptly and mitigate risks to the organisation. Must stay updated on changes in laws and regulations. Time Manage skills to manage time efficiently. Prioritising tasks and adhering to strict deadlines Should be able to learn and familiarise with relevant software and technological tools Should be able to understand the company’s operations. Preferred candidate profile - CS -Semi-qualified is also applicable

Role & responsibilities ROC FILLING, ROC COMPLIANCE, CORPORATE AFFAIRS, DRAFTING, LEGAL NOTICE, MUNTUS AND OTHERS Preferred candidate profile SEMI QUALIFIED COMPANY SCRETARY

- Preparation, review & filing of necessary statutory forms & returns with MCA, SEBI, Stock Exchanges & other regulatory bodies - Maintaining statutory registers, records, and minutes of Board, Committee & Shareholders’ meetings Required Candidate profile - 1 year or more with a Practicing CS firm - Handled compliance, advisory assignments & client interactions - Review corporate records, agreements & filings to identify legal and regulatory risks