Manager –Compliance, Legal & Secretarial

About Company

The company operates in the investment and financial services sector, focusing on identifying, backing, and managing growth opportunities across diverse businesses and asset classes.

Job Description

Position Summary

We are seeking a qualified Company Secretary (CS) and LLB professional with approximately 10 years of experience to manage legal, regulatory, secretarial, compliance, and governance functions. The role requires strong expertise in SEBI AIF Category II regulations, FEMA, Companies Act, corporate governance, portfolio company compliance oversight, contract management, and HR-related statutory compliances.

The incumbent will serve as a trusted advisor to management, ensuring adherence to applicable laws, regulations, and best governance practices while supporting business operations and fund management activities.

Key Responsibilities

1. Fund & Regulatory Compliance (AIF Category II)

• Ensure compliance with SEBI regulations applicable to Alternative Investment Funds (AIF Category II).
• Monitor regulatory filings, disclosures, reporting requirements, and investor-related compliances.
• Coordinate with Trustees, Fund Administrators, Auditors, Custodians, and Legal Counsel.
• Track amendments in SEBI regulations and advise management on compliance implications.
• Maintain compliance calendars and ensure timely regulatory submissions.

2. Corporate Secretarial & Companies Act Compliance

• Manage all secretarial matters under the Companies Act, 2013.
• Draft, review, and maintain:
• Board Resolutions
• Shareholders' Resolutions
• Notices and Agenda
• Minutes of Board and Shareholder Meetings
• Corporate Policies and Governance Documents
• Handle MCA filings including annual filings, event-based filings, and statutory registers.
• Ensure compliance with corporate governance standards and secretarial requirements.

3. FEMA & Cross-Border Compliance

• Manage FEMA-related transactions and compliances.
• Coordinate with banks, consultants, and regulatory authorities for foreign investment matters.
• Review foreign remittance transactions and regulatory approvals where applicable.
• Ensure compliance related to FDI, ODI, ECB, and other applicable FEMA regulations.

4. Contract & Legal Management

• Draft, review, negotiate, and finalize:
• Vendor Agreements
• Service Agreements
• Consultancy Agreements
• Non-Disclosure Agreements (NDAs)
• Employment Contracts
• Commercial Contracts
• Identify legal and business risks and recommend mitigation measures.
• Liaise with external legal counsel on litigation and advisory matters, if required.

5. Portfolio Company Compliance Oversight

• Review legal, secretarial, and regulatory compliance status of portfolio companies.
• Conduct periodic compliance health checks and governance reviews.
• Track corrective action plans and closure of compliance gaps.
• Support due diligence exercises, investment transactions, and governance reporting.
• Assist portfolio companies in implementing compliance frameworks and best practices.

6. HR & Labour Law Compliance

• Ensure compliance with employment and labour laws, including:
• POSH Act
• Shops & Establishments Act
• Professional Tax
• Provident Fund (PF)
• Employee State Insurance (ESI), where applicable
• Gratuity and other labour law requirements
• Conduct and monitor POSH compliance activities, committee governance, and annual reporting.
• Review HR policies and employee-related documentation.
• Support HR team in statutory audits and labour law inspections.

7. Tax & Statutory Compliance Coordination

• Coordinate GST compliance requirements and statutory filings.
• Review TDS compliance and support finance teams on withholding tax matters.
• Ensure statutory compliance documentation is maintained and audit-ready.
• Coordinate with tax consultants, auditors, and regulatory authorities.

8. Governance, Risk & Compliance Framework

• Develop and maintain compliance monitoring systems and dashboards.
• Conduct compliance risk assessments and recommend mitigation plans.
• Drive implementation of internal controls and governance standards.
• Prepare compliance reports for senior management and Board review.