Legal Assistant ( SAT-SEBI, Securities Law & Regulatory Compliance)

Legal Assistant ( SAT-SEBI, Securities Law & Regulatory Compliance)

Exp - 2 to 10 years

Location: [Mumbai West]

Employment Type: Full-time

Department: Securities Lawyer

Key Responsibilities:

Securities Law & Regulatory Compliance

?Advise on compliance with securities regulations including [SEC rules, Exchange Act, Securities Act, FINRA, MiFID II, SEDAR+, etc.].

?Oversee periodic reporting requirements (e.g. 10-K, 10-Q, 8-K, proxy statements) and disclosures for public companies.

?Ensure timely and accurate regulatory filings with relevant stock exchanges and securities commissions.

Capital Markets Transactions

?Support equity and debt offerings, IPOs, private placements, and secondary offerings.

?Draft and review offering documents, prospectuses, underwriting agreements, and disclosure materials.

?Liaise with investment banks, regulators, and external counsel during transactional processes.

Corporate Governance

?Advise on board and committee matters, governance policies, and compliance with listing requirements.

?Assist in drafting and reviewing governance-related documents, including charters, resolutions, and insider trading policies.

Risk Management & Internal Advisory

?Monitor developments in securities law and assess impact on the company or clients.

?Provide legal advice to internal stakeholders including Finance, Investor Relations, and Compliance.

?Support internal training and awareness on securities law and disclosure obligations.

Qualifications:

?Juris Doctor (JD), LLB, or equivalent legal degree from a recognized institution.

?Licensed to practice law in [relevant jurisdiction].

?10+ years of experience in securities law at a law firm, regulatory agency, or in-house legal department.

?Strong knowledge of public company reporting requirements and securities regulations (e.g., SEC, CSA, ESMA).

?Experience in capital markets transactions and corporate finance.