Compliance Associate

10 hours ago

Thane, India Supremus Angel Pvt.Ltd. Full time

**Job Title**: Compliance Associate
**Department**: Finance Department
**Location**: Thane
**Reporting To**: CFO

**Job Summary**:
**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).

Pay: ₹30,063.00 - ₹45,000.00 per month

Work Location: In person

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