Manager/Sr Manager Compliance

4 days ago

Mumbai, Maharashtra, India Smart Wealth Financial Services Llp Full time ₹ 12,00,000 - ₹ 36,00,000 per year

Location: Mumbai

Department: Finance Control

Reports To: Finance Reporting head

Role Overview:

The Compliance & Regulatory Reporting Lead will be responsible for ensuring that the organization complies with SEBI (Securities and Exchange Board of India) regulations and other statutory requirements related to capital market activities. The role primarily focuses on the preparation, review, and timely filing of IPO-related documents, including the Draft Red Herring Prospectus (DRHP), and other mandatory disclosures. The incumbent will act as the key liaison between the organization and regulatory authorities.

Key Responsibilities:

  • Lead and manage the end-to-end process of compliance reporting related to SEBI regulations, specifically focusing on IPO filings (DRHP), disclosures, and continuous listing compliance.
  • Coordinate with internal teams (legal, finance, investor relations) and external advisors to prepare and review regulatory filings ensuring accuracy and completeness.
  • Ensure timely submission of IPO-related documents, periodic disclosures, and compliance reports to SEBI and other statutory authorities.
  • Serve as the primary point of contact for regulatory bodies including SEBI, stock exchanges, and other relevant agencies.
  • Monitor changes in SEBI regulations and other applicable laws; assess impact on compliance requirements and implement necessary process updates.
  • Develop and maintain comprehensive documentation and audit trails for all filings and regulatory correspondence.
  • Provide guidance and training to internal teams on compliance and regulatory reporting requirements.
  • Manage and resolve any regulatory queries or audits related to compliance and reporting.
  • Collaborate with the legal and corporate secretarial teams to ensure overall governance and statutory compliance.

Qualifications & Experience:

  • CA, Bachelors degree in Law, or related field.
  • Minimum 5-7 years of experience in compliance, regulatory reporting, or legal advisory roles in capital markets or financial services.
  • In-depth knowledge of SEBI regulations, especially related to IPOs, disclosures, and ongoing compliance requirements.
  • Proven experience in drafting and filing IPO-related documents (DRHP, prospectuses, etc.) and other statutory filings.
  • Excellent communication, coordination, and stakeholder management skills.

Key Competencies:

  • Regulatory knowledge and compliance
  • Attention to detail and accuracy
  • Stakeholder engagement and liaison skills
  • Project management and multitasking
  • Problem-solving and decision-making
  • Strong written and verbal communication

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