Compliance & Legal Officer
3 days ago
**Key Responsibilities:Regulatory Compliance & Corporate Governance**
- Ensure end-to-end compliance with SEBI regulations, Companies Act, and listing obligations.
- Drive the IPO lifecycle including structuring, due diligence, regulatory filings, roadshows, listing, and post-listing compliance.
- Lead the registration and regulatory compliance of SM REITs in line with SEBI (REIT) regulations.
- Monitor changes in the legal/regulatory environment and adapt internal controls and policies accordingly.
**Legal & Compliance Leadership**
- Serve as the designated Compliance Officer, ensuring the organization’s activities are aligned with legal standards and internal policies.
- Develop and oversee compliance policies, procedures, and internal controls.
- Conduct compliance audits, gap assessments, and ensure timely reporting to regulatory authorities.
**Team & Stakeholder Management**
- Manage and mentor a team of compliance and legal professionals.
- Collaborate cross-functionally with Legal, Finance, Operations, Product, Human Resources and Tech teams to ensure proactive compliance.
- Act as liaison with SEBI, stock exchanges, legal advisors, auditors, and investors for all regulatory matters.
**Strategic Advisory & Risk Management**
- Advise leadership on corporate governance, investment structures, investor disclosures, and related matters.
- Evaluate and mitigate compliance risks across business verticals and product offerings.
- Drive a compliance-first culture and lead process improvement initiatives.
**Qualifications & Skills**:
- Qualified Company Secretary (CS) and LLB.
- Minimum 15 years of experience in compliance, legal, and company secretarial roles, preferably within financial services or fintech.
- Hands-on experience with IPO processes, SEBI filings, and regulatory interaction.
- Proven track record as a Compliance Officer or similar leadership role.
- Strong understanding of SM REIT regulations, fund structures, and listing obligations.
- Excellent leadership, communication, and stakeholder management skills.
- High integrity, attention to detail, and the ability to thrive in a fast-paced, regulated environment.
Experience Required: Minimum 15 years in SEBI compliance, IPO processes, strong command on legal matters, agreements, due diligence, corporate secretarial functions, and team leadership
**Location**: Mumbai**Reports To**: CEO & Founder
**Job Types**: Full-time, Permanent
Pay: ₹2,000,000.00 - ₹3,000,000.00 per year
**Benefits**:
- Cell phone reimbursement
- Health insurance
- Paid sick time
- Paid time off
- Provident Fund
Schedule:
- Day shift
Supplemental Pay:
- Yearly bonus
**Experience**:
- Compliance Officer: 5 years (required)
- Real estate law: 5 years (required)
- IPO (End-to-End process): 4 years (required)
- Dealt with SEBI Regulations: 4 years (required)
Work Location: In person
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