Assistant Manager - Compliance & Legal

Own organization-wide legal and regulatory compliance across the PMS, RIA, AIF and NBFC businesses, covering applicable SEBI, RBI and other regulatory requirements. The role develops and implements compliance policies and internal controls; oversees regulatory filings, legal documentation and corporate records; coordinates with external legal and regulatory advisers; and keeps the Board of Directors informed of material regulatory developments, emerging compliance risks and their implications for the organization.

Role and Responsibilities

Primary Responsibilities:

• Regulatory Framework & Internal Controls: Maintain governance, conflict-management and control frameworks.
• Compliance Monitoring & Breach Management: Monitor adherence to regulatory and internal requirements, investigate and resolve breaches, support appropriate escalation and remediation, and strengthen controls to prevent recurrence.
• Legal Documentation: Draft, review and maintain legal documents.
• Personal Trading Compliance: Oversee employee trading policies and controls.
• Regulatory Filings & Reporting: Coordinate and review regulatory filings and reports to support accurate and timely submission.
• Regulatory Compliance Oversight: Ensure compliance with SEBI, RBI and other requirements.
• Policy Testing & Review: Test controls, identify gaps and update policies.

Secondary Responsibilities:

• Regulatory Developments: Track changes in the regulatory environment and prepare assessments of their applicability, feasibility, business implications and implementation requirements.
• Board & Employee Communication: Apprise the Board of Directors and employees of relevant regulatory developments, changes in compliance obligations and the implications of new or amended policies.
• New Products & Business Initiatives: Advise on the legal and regulatory frameworks applicable to the launch of new products, introduction of new business lines and establishment of investment vehicles.
• Legal & Regulatory Due Diligence: Lead legal and regulatory due diligence for proposed acquisitions, new business initiatives and products under consideration for launch.
• Regulatory Advisory: Provide guidance on regulatory requirements, governance structures and compliance considerations arising from evolving business activities.

Pay: ₹800,000.00 - ₹1,000,000.00 per year

Benefits:

• Flexible schedule
• Health insurance
• Paid sick time
• Provident Fund
• Work from home

Work Location: In person