Legal & Secretarial - Team Member

About Company

The company operates in the investment management and financial advisory industry, focusing on research-driven portfolio strategies and asset management services.

Job Description

The individual will be responsible for overseeing all statutory and regulatory compliance matters, maintaining corporate governance standards in ensuring the company’s adherence to applicable laws and regulations. This role requires a professional with deep technical knowledge, strong leadership in governance, and the ability to engage with senior stakeholders and regulators effectively. In addition to secretarial responsibilities, the role will also support the organisation on core legal matters. This position will report to the Lead – Legal & Secretarial and is not a designated Company Secretary position.

 Key Responsibilities: Secretarial 

▪ Ensure full compliance with the Companies Act, SEBI regulations, FEMA, RBI, and other applicable laws. 

▪ Prepare and file all statutory forms, annual returns, and disclosures with regulatory authorities (MCA, ROC, SEBI, RBI, etc.). 

▪ Maintain and update all statutory registers, records, and minutes in compliance with legal requirements. 

▪ Monitor changes in corporate laws, regulations, and governance frameworks, and implement necessary updates. 

▪ Manage the end-to-end process of Board Meetings, Committee Meetings, and General Meetings — including drafting agendas, circulating notices, recording minutes, and ensuring timely follow-up actions. 

▪ Provide guidance to the Board and management on governance best practices, director responsibilities, and regulatory obligations. 

▪ Facilitate smooth communication between the Board, shareholders, regulators, and auditors. 

▪ Reviewing contracts, agreements, and other legal documents from a statutory perspective. 

▪ Assist in corporate restructuring, capital issuances, mergers, or acquisitions from a secretarial and regulatory standpoint. 

▪ Liaise with external legal counsel, auditors, and regulatory authorities on company law and compliance matters. 

▪ Develop and enhance internal compliance processes and reporting mechanisms. 

▪ Drive awareness of governance and compliance obligations across departments. 

▪ Support internal audits, due diligence reviews, and other control activities. 

Key Responsibilities: Legal 

▪ Drafting, reviewing, negotiating, and finalizing legal documentation including Investment Management Agreements (IMAs), Trust Deeds, vendor and service agreements, and other commercial contracts not relating to investment transaction documentation. 

▪ Coordinate with external law firms and advisors on complex legal matters, ensuring timely, high-quality, and cost-effective legal support. 

▪ Assist in managing litigation, disputes, and legal proceedings, including coordination with counsel, internal teams, and tracking case progress. 

▪ Maintain structured trackers and repositories for all legal work undertaken, contracts executed, and matters in progress. 

▪ Attend to statutory, internal, and regulatory auditors on legal matters and assist in resolving queries in a substantive and timely manner. 

▪ Provide practical legal advice to front-office investment teams, client-facing teams, and operations on business decisions, contractual issues, and regulatory implications. 

▪ Handle legal aspects of investor-related queries, including responses to Requests for Proposals (RFPs), Due Diligence Questionnaires (DDQs), and related documentation. 

Desired Profile / Skillsets : 

▪ Bachelor’s / master’s degree in commerce, C.S, Law, or related discipline. 

▪ 10+ years of relevant post-qualification experience in company secretarial and regulatory compliance roles. 

▪ Mandatory experience in BFSI, with prior exposure to financial services, investment management, or NBFCs preferred. 

▪ Comprehensive understanding of corporate laws, SEBI, FEMA, and governance frameworks. 

▪ Strong drafting, communication, and stakeholder management skills.

Mandatory Requirement

Primary Job Profile : Regulatory Compliance

Technical Skills : FEMA, RBI Compliance, SEBI Regulatory Compliance

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