Legal Compliance Officer
1 Finance
- Location
- Mumbai, Maharashtra, India
- Job type
- Full-time
About the role
Website:
1finance.co.in
Job details:
Key Responsibilities
- Manage and ensure compliance with all applicable secretarial requirements under the Companies Act, 2013 for the Private Limited Company.
- Handle and monitor SEBI Registered Investment Adviser (RIA) compliances, including periodic filings, record maintenance, and regulatory reporting.
- Draft, review, vet, and finalize legal documents such as agreements, affidavits, declarations, undertakings, and other contractual documents.
- Provide legal support in relation to commercial contracts and regulatory matters.
- Ensure compliance with regulatory requirements applicable to the NBFC-P2P business, including RBI-related compliances, filings, documentation, and reporting.
- Maintain statutory records, registers, and compliance trackers.
- Coordinate with internal stakeholders, auditors, consultants, and regulatory authorities for compliance-related matters.
- Assist in implementation and monitoring of legal and compliance policies and processes.
Skills
- Qualified Company Secretary (CS) / CS Inter / LLB or equivalent qualification in Law, Company Secretaryship, or Compliance.
- Prior experience in secretarial, legal, and regulatory compliance functions.
- Exposure to SEBI RIA and NBFC-P2P regulatory framework will be preferred.
- Legal Drafting & Contract Review
- Regulatory Documentation
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