Assistant Manager, Compliance & Legal

About the Role

This role is responsible for organization-wide legal and regulatory compliance across the PMS, RIA, AIF, and NBFC businesses, covering applicable SEBI, RBI, and other regulatory requirements.

Key Responsibilities

• Regulatory Framework & Internal Controls: Maintain governance, conflict-management, and control frameworks.
• Compliance Monitoring & Breach Management: Monitor adherence to regulatory and internal requirements, investigate and resolve breaches, support appropriate escalation and remediation, and strengthen controls to prevent recurrence.
• Legal Documentation: Draft, review, and maintain legal documents.
• Personal Trading Compliance: Oversee employee trading policies and controls.
• Regulatory Filings & Reporting: Coordinate and review regulatory filings and reports to support accurate and timely submission.
• Regulatory Compliance Oversight: Ensure compliance with SEBI, RBI, and other requirements.
• Policy Testing & Review: Test controls, identify gaps, and update policies.
• Regulatory Developments: Track changes in the regulatory environment and prepare assessments of their applicability, feasibility, business implications, and implementation requirements.
• Board & Employee Communication: Apprise the Board of Directors and employees of relevant regulatory developments, changes in compliance obligations, and the implications of new or amended policies.
• New Products & Business Initiatives: Advise on the legal and regulatory frameworks applicable to the launch of new products, introduction of new business lines, and establishment of investment vehicles.
• Legal & Regulatory Due Diligence: Lead legal and regulatory due diligence for proposed acquisitions, new business initiatives, and products under consideration for launch.
• Regulatory Advisory: Provide guidance on regulatory requirements, governance structures, and compliance considerations arising from evolving business activities.

Requirements & Tech Stack

• Qualified Company Secretary (CS) with a legal background.
• Bachelor’s degree in Law (LLB) - Preferred.
• Up to 2 years of relevant experience in legal, corporate secretarial, or regulatory compliance functions.

Qualifications

• Strong command of legal drafting, regulatory interpretation, and compliance analysis.
• Sound understanding of financial services regulations and corporate governance frameworks.
• Excellent written and verbal communication skills.
• Strong analytical judgement, problem-solving ability, and attention to detail.
• High professional integrity and the ability to engage effectively with the Board and key stakeholders.