This role is responsible for enhancing the organization’s compliance framework to support future debt and equity listings. The candidate will work closely with a compliance team of 5 members and report to the AVP Compliance, ensuring alignment with regulatory requirements and corporate governance standards for both the flagship company and group entities.  

Key Responsibilities 

Regulatory Compliance: 

• Ensure adherence to applicable SEBI regulations, Companies Act, listing guidelines, and industry standards. 

• Monitor changes in laws and regulations, specifically related to debt and equity listings, and update internal policies accordingly. 

• Assist in regulatory reporting, filing returns, and coordinating with SEBI, stock exchanges, and other regulatory authorities. 

• Prepare documentation required for listing approvals and ongoing compliance. 

Policy Implementation: 

• Develop, implement, and periodically update internal compliance and governance policies. 

• Conduct training sessions for employees on regulatory compliance, corporate governance, and listing obligations. 

• Ensure timely dissemination and understanding of policy updates across the organization. 

Listing Readiness and Coordination: 

• Support the organization in preparing for debt and equity listing by ensuring all compliance documentation is in order. 

• Coordinate with legal, finance, and external advisors (merchant bankers, auditors, etc.) to meet pre-listing requirements. 

• Assist in drafting offer documents, disclosure materials, and other listing-related paperwork. 

Cross-Functional Collaboration: 

• Act as a liaison between compliance, legal, finance, and operations teams to maintain smooth workflows and ensure consistent compliance practices. 

• Facilitate communication to resolve compliance bottlenecks and manage team workloads effectively. 

Audits and Reviews: 

• Assist in preparing for internal and external audits related to regulatory compliance and corporate governance. 

• Conduct periodic compliance reviews to identify potential risks, gaps, and areas for improvement. 

• Ensure timely closure of audit findings and implement corrective measures. 

Risk Management: 

• Identify potential compliance risks related to listing and propose effective mitigation strategies. 

• Develop and support risk assessment frameworks and compliance monitoring plans tailored to the listing process. 

Reporting and Documentation: 

• Prepare compliance reports, dashboards, and presentations for senior management and the Board. 

• Maintain comprehensive records of compliance activities, investigations, and resolutions in alignment with regulatory expectations. 

Advisory Support: 

• Provide expert guidance on compliance and secretarial matters related to listing regulations. 

• Support the compliance team in strategic initiatives, ensuring readiness for future regulatory milestones.

Qualifications

4+ years of post-qualification experience in regulatory compliance, corporate governance, or listing compliance.