Legal Compliance Specialist

Position Overview: (Mumbai-based role)

We are looking for a skilled, detail-oriented legal and compliance professional with 2-3 years of experience working in a listed company [SEBI (LODR 2015, 2017) Regulations, or Listing Obligations and Disclosure Requirements], and experience in corporate legal matters, regulatory compliance, and governance. This role is focused on legal tasks, including contract management, risk mitigation and regulatory compliance, and essential company secretarial duties.

The ideal candidate should have a combination of legal and company secretary experience with a strong legal acumen, thorough understanding of corporate laws, and experience with regulatory filings. They will work closely with external legal advisors, regulators, auditors, and internal stakeholders to ensure the company’s full compliance with applicable laws and corporate governance frameworks.

Job Description:

1. Corporate Regulatory Compliance:

· Ensure compliance with corporate laws, including the Companies Act, 2013, SEBI regulations, FEMA, RBI guidelines, and other applicable laws.

· Oversee compliance with stock exchange obligations, financial disclosures, and investor protection norms.

· Conduct legal risk assessments, internal audits to identify/mitigate potential non-compliance.

· Stay updated with legislative and regulatory changes, advising management on necessary actions.. Contract Management Legal Documentation:

· Draft, review, and negotiate contracts, agreements, NDAs, MoUs, legal documents to ensure alignment with regulatory and business objectives.

· Maintain and update contract repositories and ensure compliance with contractual obligations.

· Handle legal documentation for financial transactions, vendor agreements, and partnership deals.

3. Dispute Resolution Legal Advisory:

· Provide legal guidance on corporate, labor, and intellectual property laws to mitigate legal risks.

· Handle legal disputes, litigation cases, arbitration, and regulatory investigations, liaising with external legal advisors when necessary.

· Manage regulatory inquiries, statutory filings, compliance audits with SEBI, RBI, other authorities.

· Represent the company in legal proceedings, regulatory hearings, dispute settlements.

4. Risk Management Internal Compliance:

· Develop and implement internal compliance policies in line with corporate governance standards.

· Ensure all legal aspects of business operations, including taxation, employee contracts, and intellectual property rights, are in full compliance.5. Board Shareholder Management:

· Organize and coordinate Board Meetings, AGMs, Committee Meetings as per legal requirements.

· Draft and maintain board resolutions, meeting minutes, and agenda papers.

· Assist in shareholder communication, investor relations, and corporate actions such as dividends, stock splits, share transfers.

6. Regulatory Filings Record-Keeping:

· Ensure timely and accurate filing of annual returns, financial disclosures, and statutory reports with the MCA, ROC, SEBI, and stock exchanges.

· Maintain and update statutory registers, corporate records, and governance documentation.

· File e-forms, XBRL reports, and SEBI disclosures in compliance with regulatory requirements.

7. IPO Stock Exchange Compliance:

· Support in IPO documentation, stock exchange filings, and investor disclosures.

· Liaise with merchant bankers, auditors, legal advisors on listing requirements and due diligence.

· Ensure post-listing compliance with SEBI (LODR 2015, 2017) regulations and stock exchange norms.Ideal Candidate Requirements:
• LLB or additional legal certifications are mandatory.
• Qualified Company Secretary (CS) from ICSI is mandatory.
• 2-3 years of experience in legal compliance, corporate law, and regulatory affairs.
• Experience working in corporate legal departments, law firms, or financial firms is a plus.
• Strong knowledge of corporate laws, SEBI regulations, and governance frameworks.
• Experienced with MCA21, SEBI filings, stock exchange disclosures, NSDL/CDSL filings.
• Proficiency in contract negotiation, legal drafting, and corporate compliance audits.
• Excellent communication, drafting, and negotiation skills.
• High level of attention to detail, analytical thinking, and problem-solving ability.
• Ability to work in a fast-paced, high-growth environment with minimal supervision. Read more