30 Jul 2025
DNto
Assistant Manager - Legal, Risk & Compliance
Mumbai
6-8 Years
SEBI – Compliance & Secretarial, Companies Act – Compliance & Secretarial
Job Description
Role : Assistant Manager - Legal, Risk & Compliance
Location : Khar,Mumbai
Experience : 6 to 7 Years
Qualification : CS,LLB
Job Description :
1) Compliance Strategy and Framework:
• Develop and implement a comprehensive compliance SOP aligned with the company’s goals and regulatory requirements.
• Establish policies, procedures, and controls to ensure adherence to applicable laws, regulations, and industry standards and work together with the senior management for
• the same.
• Create a Diligence folder pertaining to all aspects of compliance.
2) Regulatory and Legal Support to Management:
• Stay updated on relevant laws, regulations, and guidelines affecting the brands we operate.
• Analyze the impact of regulatory changes and provide guidance to senior management on compliance implications on the business in all our brands.
• Vet Contracts and Agreements in the ordinary course of business.
• Assist in closing compliance and transaction documents in case of any structural changes or fundraise.
• Be responsible for all secretarial compliances in all entities.
• Construct contracts and agreements for vendors and third parties wherever needed.
3) Risk Assessment and Mitigation:
• Conduct regular risk assessments to identify compliance risks and vulnerabilities.
• Design and deliver training programs on compliance policies, procedures, and ethical standards for employees across the organization.
• Foster a culture of compliance awareness and integrity within the company.
• Consistently check SBRT regulations and the applicable clauses on the entities.
4) External Communication and Reporting:
• Serve as the point of contact for regulatory agencies, auditors, and other third parties on compliance matters
• Prepare and submit timely and accurate compliance reports to regulatory bodies as required.
• Take ownership in closing Legal Due Diligence in case of any structural changes in the companies.
5) Collaboration:
● Collaborate with legal counsel, senior management, and other functional teams to address compliance issues and implement best practices.
Location : Khar,Mumbai
Experience : 6 to 7 Years
Qualification : CS,LLB
Job Description :
1) Compliance Strategy and Framework:
• Develop and implement a comprehensive compliance SOP aligned with the company’s goals and regulatory requirements.
• Establish policies, procedures, and controls to ensure adherence to applicable laws, regulations, and industry standards and work together with the senior management for
• the same.
• Create a Diligence folder pertaining to all aspects of compliance.
2) Regulatory and Legal Support to Management:
• Stay updated on relevant laws, regulations, and guidelines affecting the brands we operate.
• Analyze the impact of regulatory changes and provide guidance to senior management on compliance implications on the business in all our brands.
• Vet Contracts and Agreements in the ordinary course of business.
• Assist in closing compliance and transaction documents in case of any structural changes or fundraise.
• Be responsible for all secretarial compliances in all entities.
• Construct contracts and agreements for vendors and third parties wherever needed.
3) Risk Assessment and Mitigation:
• Conduct regular risk assessments to identify compliance risks and vulnerabilities.
• Design and deliver training programs on compliance policies, procedures, and ethical standards for employees across the organization.
• Foster a culture of compliance awareness and integrity within the company.
• Consistently check SBRT regulations and the applicable clauses on the entities.
4) External Communication and Reporting:
• Serve as the point of contact for regulatory agencies, auditors, and other third parties on compliance matters
• Prepare and submit timely and accurate compliance reports to regulatory bodies as required.
• Take ownership in closing Legal Due Diligence in case of any structural changes in the companies.
5) Collaboration:
● Collaborate with legal counsel, senior management, and other functional teams to address compliance issues and implement best practices.