Senior Manager/Associate Vice President - Compliance - LLB

Description:

• Excellent knowledge of Companies Act 2013 Rules and its application including Secretarial Standards
• Practical Knowledge & Experience of compliances under SEBI Regulations
• CANDIDATE WITH CS MUST

Corporate Secretarial & Regulatory Compliance

• Provide support to Corporate Secretarial function on across firm's entities, including the Investment Manager, Trustee, sec on 8 and other group companies, with oversight of Board processes such as agendas, notes, minutes, resolutions, and statutory registers prepared by the team.
• Proactively track regulatory and legislative developments (including SEBI AIF Regulations, SEBI regulations applicable to intermediaries, PMS, and corporate laws), prepare impact assessments, and drive timely implementation on through structured ac on plans.
• Ensure effective implementation of the PIT framework, including monitoring, disclosures, and periodic training programs for employees and designated persons.
• Lead the implementation of compliance programs and internal policies across firm and group entities, working closely with relevant departments to ensure ownership, accountability, and adherence.
• Drive the design and implementation of technology-enabled compliance and governance solutions, including digitization and automation initiatives across the firm's platform and portfolio companies, with a focus on scalability, controls, and regulatory robustness.
• Oversee CSR governance, including monitoring CSR expenditure, Annual Ac on Plans, reporting, and end-to-end compliance across firm's group companies.
• Leading/ Execution of special projects with team/ experts like framework under DPDP Act, Cyber security and cyber resilience, AI Project etc
• Drive and assist in the preparation and submission of CCI applications, working closely with external legal counsel and transaction teams in connection with strategic investments

Governance of Portfolio Companies

• Lead the induction and institutionalization of best-in-class governance practices across portfolio companies, aligned with investor expectations, regulatory requirements, and global governance benchmarks.
• Draft, customize, and implement tailored governance frameworks for portfolio companies, calibrated to the companys size, stage of growth, sector, ownership structure, and applicable regulatory landscape.
• Monitor and ensure compliance with shareholder agreements and investment-related obligations by portfolio companies.
• Drive and oversee mergers, amalgamations, and schemes of arrangement across portfolio companies, coordinating with internal stakeholders, advisors, and regulators to ensure seamless execution and compliance.
• Conceptualize and organize knowledge-sharing forums and governance sessions for portfolio companies, including interactions with industry veterans and subject-matter experts on contemporary governance and boardroom themes.
• Assist in preparing Compliance and Governance Playbooks and handbooks on various compliance and governance related topics

Requirements:

• Company Secretary with 7+ Years of experience (LLB/ MBA qualification is an added advantage)
• Having Practical Knowledge & Experience of compliances under SEBI Regulations (PIT/LODR/AIF Regulations), RBI Master Directions for NBFC, FEMA and Companies Act 2013.

- Excellent knowledge of Companies Act 2013, Rules and its application including Secretarial Standards.

• Excellent communication skills