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Compliance Manager

3 months ago

Mumbai, India Pod Invest Full time

Job Summary

We are looking for an experienced Company Secretary to manage all compliance and regulatory matters, handle foreign investments, and draft policies for SEBI. The ideal candidate will have a strong background in compliance, particularly with end-to-end fundraising activities, and be an excellent communicator and problem solver. Experience in dealing with different types of SEBI-regulated investment instruments is essential.


Key Responsibilities

  • Compliance Management: Ensure the company complies with all relevant laws and regulations, including RBI and SEBI guidelines.
  • Foreign Investments: Manage and oversee all aspects of foreign investments, ensuring adherence to regulatory requirements.
  • Policy Drafting: Draft and implement policies in line with SEBI regulations and other applicable laws.
  • Fundraising Activities: Provide support for end-to-end fundraising activities, ensuring compliance at each stage.
  • Investment Instruments: Handle various SEBI-regulated investment instruments and ensure compliance with their respective regulations.
  • Corporate Governance: Advise on corporate governance best practices and ensure the board of directors and senior management are informed of their legal responsibilities.
  • Regulatory Filings: Prepare and file necessary documents with regulatory bodies, including annual returns and financial statements.
  • Board Meetings: Organize and manage board meetings, including preparing agendas, minutes, and resolutions.
  • Stakeholder Communication: Serve as the primary point of contact for regulatory authorities, investors, and other stakeholders.
  • Risk Management: Identify and mitigate legal and compliance risks associated with the company’s operations and fundraising activities.


Requirements

  • Being Proactive and communicative
  • Education: Bachelor’s degree in Law, Finance, or related field. A CS qualification is mandatory.


  • Experience: Minimum of 3 years of experience in compliance and company secretarial roles, preferably in the fundraising or financial services industry.


  • Skills:
  • In-depth knowledge of SEBI regulations and compliance requirements.
  • Experience in managing foreign investments and regulatory filings.
  • Proficiency in dealing with various SEBI-regulated investment instruments.
  • Excellent communication and presentation skills.
  • Strong problem-solving abilities.
  • High attention to detail and organizational skills.
  • Ability to work independently and collaboratively in a fast-paced environment.
  • Based in Bangalore, hybrid work with one or two days from office