My Client is a tech-first NBFC redefining how India lends.

Role: Manager - Compliance, Company Secretary & Legal

ROLE OVERVIEW

We are looking for an experienced and driven professional to lead our Compliance and Secretarial functions. This leadership role is focused on managing regulatory frameworks, driving corporate governance, and overseeing company secretarial responsibilities, along with providing legal oversight. The ideal candidate must have a deep understanding of NBFC regulations, SEBI LODR, Companies Act, and compliance requirements relevant to a listed financial institution.

Key Responsibilities

1. Compliance & Secretarial Leadership

- Ensure full compliance with RBI, SEBI, MCA, and Stock Exchange regulations.

- Manage all secretarial responsibilities in line with the Companies Act and SEBI LODR.

- Lead timely and accurate statutory filings and regulatory disclosures.

- Organize and maintain governance for Board, Committee, and Shareholder meetings.

- Maintain structured compliance systems and ensure readiness for internal/external audits.

2. Corporate Governance

- Advise the Board on governance frameworks and evolving regulatory expectations.

- Ensure effective functioning and constitution of statutory committees.

- Oversee implementation of governance policies such as Insider Trading, Whistleblower, and Code of Conduct.

3. Regulatory Engagement & Risk Management

- Identify and mitigate compliance risks across business operations.

- Represent the company in communications with RBI, SEBI, ROC, and other regulatory bodies.

- Handle regulatory inspections, queries, and compliance audits.

- Support investor and shareholder interactions from a regulatory and governance perspective.

4. Legal Oversight

- Review and draft commercial contracts, agreements, and legal documents.

- Provide legal input on business strategies, partnerships, and ongoing operations.

- Coordinate with external counsel for litigation and high-value matters.

- Ensure legal due diligence across company transactions and relationships.

5. Leadership & Process Development

- Lead and mentor the Compliance, Secretarial, and Legal teams.

- Build scalable processes to strengthen regulatory controls and governance frameworks.

QUALIFICATIONS & EXPERIENCE

- Education: Qualified Company Secretary (CS) from ICSI. A degree in law (LLB), LLM, or an MBA (Finance/Legal) would be an added advantage.

- Experience: Minimum 5 - 8 years of post-qualification experience, with at least 3 years in a listed NBFC or regulated financial institution with strong compliance and secretarial background.

KEY SKILLS

- Strong command over NBFC regulations, SEBI LODR, Companies Act, and financial compliance frameworks.

- Excellent governance, documentation, and regulatory communication skills.

- Experience in managing legal and contractual matters.

- High integrity, attention to detail, and a solution-oriented mindset.

- Effective leadership and stakeholder management capabilities.