Compliance Officer

3 weeks ago

Anantapur, Andhra Pradesh, India NovaaOne Capital Pvt Ltd. Full time

Position: Compliance Officer

Location: Mumbai

Experience: Company Secretary 3–4 years post-qualification

Reporting to: CEO

Role Overview

We are looking for a qualified and motivated Company Secretary with 3–4 years of post-qualification experience to lead and manage the compliance function of our firm. The role includes ensuring compliance with SEBI regulations, the Companies Act, 2013, and internal policies and procedures applicable to the firm.

Key Responsibilities

SEBI & Capital Markets Compliance

  • Ensure full compliance with SEBI (Merchant Bankers) Regulations, ICDR, LODR, Takeover Code, and related circulars and guidelines.
  • Handle regulatory filings and correspondence with SEBI, Stock Exchanges, and other market intermediaries.
  • Ensure compliance in IPOs, open offers, buybacks, delistings, and other capital market transactions.
  • Maintain proper records, registers, Structure Digital Database and documentation as required under applicable SEBI regulations.

Companies Act, 2013 Compliance

  • Ensure compliance with all secretarial requirements under the Companies Act, 2013 including Board and General Meetings, ROC filings, and maintenance of statutory registers.
  • Prepare and maintain minutes, resolutions, and filings related to company law matters.
  • Coordinate with auditors, legal advisors, and regulators as required.

Firm-wide Compliance & Governance

  • Monitor overall compliance of the firm with applicable laws and internal policies.
  • Develop and implement internal compliance policies, manuals, and standard operating procedures.
  • Conduct periodic compliance audits, risk assessments, and employee training.
  • Liaise with internal teams to ensure a culture of compliance and governance.
  • Support senior management and the Board on governance and regulatory matters.

Eligibility Criteria

  • Qualified Company Secretary (ICSI) with 3–4 years of post-qualification experience.
  • Prior experience in a SEBI-registered intermediary or capital markets firm preferred.
  • Strong working knowledge of SEBI regulations and the Companies Act, 2013.
  • Excellent drafting, communication, and interpersonal skills.
  • High attention to detail, proactive approach, and ability to handle multi-functional responsibilities.

Desirable Attributes

  • Experience in handling inspections or audits by SEBI or MCA.
  • Ability to interpret and implement regulatory updates quickly.
  • Strong ethics, confidentiality, and problem-solving mindset.

Interested candidates please forward your CV to: 9221406728 / novaahr@novaaone.com

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