Live opening · Posted 10 days ago
Legal Compliance Officer
1 Finance · Mumbai, Maharashtra, India (On-site)
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At a glance
The key details from the original listing.
Company1 Finance
LocationMumbai, Maharashtra, India (On-site)
Work modeNo
Source
Linkedin
Listed10 days ago
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About the role
Description supplied by the original job listing.
Key Responsibilities
Manage and ensure compliance with all applicable secretarial requirements under the Companies Act, 2013 for the Private Limited Company.
Handle and monitor SEBI Registered Investment Adviser (RIA) compliances, including periodic filings, record maintenance, and regulatory reporting.
Draft, review, vet, and finalize legal documents such as agreements, affidavits, declarations, undertakings, and other contractual documents.
Provide legal support in relation to commercial contracts and regulatory matters.
Ensure compliance with regulatory requirements applicable to the NBFC-P2P business, including RBI-related compliances, filings, documentation, and reporting.
Maintain statutory records, registers, and compliance trackers.
Coordinate with internal stakeholders, auditors, consultants, and regulatory authorities for compliance-related matters.
Assist in implementation and monitoring of legal and compliance policies and processes.
Skills
Qualified Company Secretary (CS) / CS Inter / LLB or equivalent qualification in Law, Company Secretaryship, or Compliance.
Prior experience in secretarial, legal, and regulatory compliance functions.
Exposure to SEBI RIA and NBFC-P2P regulatory framework will be preferred.
Legal Drafting & Contract Review
Regulatory Documentation
Work arrangement
No
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