Role Summary
The Compliance Operations & legal Manager is responsible for overseeing and strengthening the organization's compliance framework while ensuring smooth operational execution, along with secretarial responsibilities. The role focuses on regulatory adherence and process governance and continuous improvement from a compliance perspective. Hands on experience on Various legal & compliance roles
Key Responsibilities
Secretarial & Legal-
Ensure compliance with the Companies Act, 2013 and applicable rules.
Conduct Board Meetings, Committee Meetings, and Annual General Meetings (AGMs).
Prepare and maintain statutory registers, minutes, and records.
File necessary forms and returns with the Ministry of Corporate Affairs (MCA).
Advise the Board on corporate governance best practices.
Handle incorporation, restructuring, and liquidation processes if required.
Draft, vet, and negotiate contracts, agreements, and legal documents.
Manage litigation, dispute, and liaise with external legal counsel.
Provide legal advisory support to internal stakeholders across functions.
Ensure legal risk mitigation in business decisions.
Ensure compliance with
SEBI (LODR) Regulations. Monitor & Implement changes in companies act, SEBI regulations & other applicable laws.
Handle SEBI SCORES, stock exchange correspondences (NSE/BSE), listing obligations
Handle stock exchange filings and disclosures. Manage ESOP Compliance.
Manage investor relations and shareholder communication.
Oversee insider trading regulations and disclosures
International Trade Laws
Labor laws
Compliance & Regulatory-
Develop, implement, and monitor and implement compliance frameworks and operational policies.
Monitor adherence to regulatory requirements (labor laws, corporate laws, FEMA, etc.).
Conduct internal compliance audits and risk assessments.
Act as a point of contact for regulatory authorities
Corporate Governance & Risk & Audit Adherence
Identify legal and compliance risks and recommend mitigation strategies.
Collaborate with internal/external auditors during audits & ensure timely closure of audit observation
Ensure ethical business practices and adherence to governance standards.
Support Board and leadership in policy formulation.
Automation & Technology Responsibilities (Also critical): This addition makes this role different from a standard CS position:
Create dashboards that track filing deadlines, disclosure obligations, and penalty risks in real time
Automate generation of board packs, draft resolutions, and routine filings, create a monthly compliance dashboard and alert system
Set up monitoring pipelines for regulatory updates (SEBI circulars, MCA notifications) with summarization
Build reporting tools for management: compliance health scores, outstanding items, regulatory exposure, compliance failure alerts.
- Integrate data from MCA portal, BSE/NSE, other govt portals and internal systems into unified dashboards
Key Competencies & Skills
Risk assessment, management and mitigation
Process improvement
Strong understanding of regulatory frameworks and operational governance.
Governance standards & contractual obligations.
Collaboration and leadership
Basic Qualifications
Qualified
(CS) – member of Institute of Company Secretaries of India. LLB degree preferred (or equivalent legal qualification)
5–12 years of experience in legal, compliance, and company secretarial functions
Experience in corporate or consulting environment preferred (not law firm)
Prior exposure to handling Board processes and regulatory filings
Strong in Communication (both written & verbal) with strong decision-making ability
Stakeholder management Ability
Attention to detail & ethical standards.
Preferred Qualifications
Certification in compliance or risk management (e.g., CRCM, CAMS, ISO compliance).
Experience in internal audits or regulatory reporting.
A combined background in corporate secretarial practices and legal compliance is advantageous.
