Compliance Associate

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).

Job Type: Full-time

Pay: ₹30,063.00 - ₹45,000.00 per month

Work Location: In person