Senior Compliance Associate

15 hours ago

Navi Mumbai, Maharashtra, India Supremus Angel Full time ₹ 15,00,000 - ₹ 20,00,000 per year

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).

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