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Legal & Compliance Officer

2 months ago

Mumbai, India Rockstud Capital Full time

Company Overview

Rockstud Capital is leading alternate asset management Firm based in Mumbai. Our first Fund, Rockstud Capital Investment Fund Series I is a SEBI registered Category II AIF Fund established in 2018. The Fund had a unique hybrid equity strategy of investing in Startups at Pre-Series A stage as well as in Listed Equities in India.

We are currently deploying from our second Fund, Rockstud Capital Investment Fund II, a Startup focused Fund which would continue to invest at Pre-Series A stage and across key focus areas of Consumption, FinTech, HealthTech, and Sustainability. Learn more at Rockstud Capital.


Job Overview

We are seeking a dedicated Legal & Compliance Officer for a full-time position located in Mumbai. The role requires managing legal compliance in line with SEBI regulations and ensuring adherence to alternative investment fund (AIF) compliance. The successful candidate will help Rockstud Capital navigate the complex regulatory landscape of investment management.


Roles and Responsibilities

  • Monitor and ensure compliance with SEBI AIF regulations and other relevant legal statutes affecting the company.
  • Oversee and implement policies and procedures related to Fund compliance and AIF regulatory requirements.
  • Draft, review, and negotiate legal documents related to investments, partnerships, and operational matters.
  • Ensure terms of the legal agreements are monitored & complied on an on-going basis.
  • Provide legal guidance and risk assessment on corporate transactions and agreements.
  • Liaise with external legal counterparts and regulatory bodies on compliance matters.
  • Conduct legal audits and internal compliance checks to identify areas for improvement and rectify discrepancies.
  • Advise management on legal compliance trends and potential impacts on company operations.
  • Ensure the company adheres to corporate governance principles and maintains high ethical standards.


Qualifications and Skills

  • Professional Qualified Company Secretary with a Degree in Law is preferred.
  • NISM Series-III-A: Securities Intermediaries Compliance (Non-Fund) Certification Examination will be an added advantage.
  • Proven expertise in SEBI AIF Regulations and Compliance (Mandatory skill).
  • Knowledge and experience in Prohibition of Insider Trading regulations, Anti-Money Laundering regulations, etc.
  • Proficiency in legal writing with attention to detail ensuring accuracy and clarity in documentation.
  • Effective negotiation skills to protect company interests while achieving positive outcomes in discussions.
  • Ability to navigate SEBI compliance, ensuring all company activities are conducted according to regulations and in a timely manner.
  • Strong analytical skills to assess risk and articulate strategic advice regarding legal and regulatory issues.
  • Excellent communication skills to liaise effectively with internal teams and external partners.