Compliance Associate

2 days ago


Thane MH IN Supremus Angel Pvt.Ltd. Full time

Job Title Compliance Associate Department Finance Department Location Thane Reporting To CFO Job Summary We are looking for a meticulous and detail-oriented professional to join our Legal and Compliance team in the External Compliance function The role involves managing compliance activities related to the Companies Act 2013 SEBI regulations including ICDR LODR SAST as well as ensuring Secretarial and Legal Due Diligence M A compliance and handling the Initial Offering Process IOP The ideal candidate should have a deep understanding of corporate laws regulatory frameworks and best practices in legal compliance Key Responsibilities Regulatory Statutory Compliance Ensure end-to-end compliance with the Companies Act 2013 including filing of necessary returns resolutions and maintaining statutory registers Ensure timely and accurate compliance with SEBI regulations including ICDR Issue of Capital and Disclosure Requirements LODR Listing Obligations and Disclosure Requirements SAST Substantial Acquisition of Shares and Takeovers Secretarial and Legal Due Diligence Conduct detailed Secretarial Due Diligence and Legal Due Diligence for proposed transactions including acquisitions mergers and restructuring Review corporate documents agreements board resolutions and regulatory filings as part of diligence processes Identify compliance gaps potential liabilities and recommend corrective actions Mergers Acquisitions M A Compliance Provide compliance support during M A activities including documentation statutory filings coordination with regulatory authorities and post-merger integration requirements Liaise with external counsels and internal stakeholders to ensure legal and regulatory alignment in M A deals Initial Offering Process IOP Support the legal and compliance team in the Initial Public Offering IPO or other public offering processes Assist with preparation of offer documents interaction with regulatory bodies e g SEBI stock exchanges and ensure legal readiness for the offering Liaison Advisory Liaise with external regulatory authorities consultants and legal advisors on compliance matters Advise internal stakeholders on legal and compliance requirements for business activities contracts and corporate actions Documentation Reporting Maintain accurate compliance records trackers and reports for audits and internal controls Prepare compliance checklists standard operating procedures SOPs and legal summaries for management Qualifications Skills Educational Qualification Company Secretary CS Executive Level or Professional Level LLB LLM is preferred Experience 1-3 years of experience in legal secretarial compliance preferably in listed companies or regulated environments Strong working knowledge of Companies Act SEBI regulations ICDR LODR SAST FEMA and other applicable corporate laws Experience in M A compliance and IPO process is highly desirable Proficiency in drafting legal documents agreements board resolutions and regulatory correspondence Excellent communication coordination and analytical skills Preferred Attributes Experience working in a law firm or in-house legal department Merchant banking firm Exposure to interactions with SEBI ROC stock exchanges and other regulators Familiarity with digital compliance platforms and secretarial tools e g MCA portal NSE BSE portals Job Type Full-time Pay 30 063 00 - 45 000 00 per month Work Location In person


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