Compliance Associate

3 days ago

Mumbai Maharashtra, India BHIVE Workspace Full time

BHIVE Workspace
Mumbai
Referral Category: Category 5
1 - 3 years
Qualified Company Secretary (CS)

**Key Responsibilities**

**Regulatory Compliance**:

- Ensure adherence to applicable SEBI regulations, Companies Act, listing guidelines, and industry standards.
- Monitor changes in laws and regulations, specifically related to debt and equity listings, and update internal policies accordingly.
- Assist in regulatory reporting, filing returns, and coordinating with SEBI, stock exchanges, and other regulatory authorities.
- Prepare documentation required for listing approvals and ongoing compliance.

**Policy Implementation**:

- Develop, implement, and periodically update internal compliance and governance policies.
- Conduct training sessions for employees on regulatory compliance, corporate governance, and listing obligations.
- Ensure timely dissemination and understanding of policy updates across the organization.

**Listing Readiness and Coordination**:

- Support the organization in preparing for debt and equity listing by ensuring all compliance documentation is in order.
- Coordinate with legal, finance, and external advisors (merchant bankers, auditors, etc.) to meet pre-listing requirements.
- Assist in drafting offer documents, disclosure materials, and other listing-related paperwork.

**Cross-Functional Collaboration**:

- Act as a liaison between compliance, legal, finance, and operations teams to maintain smooth workflows and ensure consistent compliance practices.
- Facilitate communication to resolve compliance bottlenecks and manage team workloads effectively.

**Audits and Reviews**:

- Assist in preparing for internal and external audits related to regulatory compliance and corporate governance.
- Conduct periodic compliance reviews to identify potential risks, gaps, and areas for improvement.
- Ensure timely closure of audit findings and implement corrective measures.

**Risk Management**:

- Identify potential compliance risks related to listing and propose effective mitigation strategies.
- Develop and support risk assessment frameworks and compliance monitoring plans tailored to the listing process.

**Reporting and Documentation**:

- Prepare compliance reports, dashboards, and presentations for senior management and the Board.
- Maintain comprehensive records of compliance activities, investigations, and resolutions in alignment with regulatory expectations.

**Advisory Support**:

- Provide expert guidance on compliance and secretarial matters related to listing regulations.
- Support the compliance team in strategic initiatives, ensuring readiness for future regulatory milestones.

**Qualifications for Compliance Role (Debt & Equity Listings) at BHIV**

Qualifications for Compliance Role

**Qualified Company Secretary (CS)** - Mandatory
**LLB or additional financial certification (CFA, CA, or CPA)** - Preferred
**1-3 years of experience** in regulatory compliance, corporate governance, or listing compliance.

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