Compliance, Legal, and Secretarial
Location: Mumbai | Experience: 0 to 2 years
Objective of the role
The candidate will support the department in ensuring the company's adherence to regulatory requirements, legal standards, and corporate governance practices. This entry-level position offers an opportunity to gain hands-on experience in compliance monitoring, legal documentation, and secretarial functions.
Roles and responsibilities
The roles & responsibilities will include but not limited to-
- Assist in monitoring and tracking regulatory changes and updates.
- Help in managing compliance for PMS, AIF and Investment Advisory businesses.
- Help prepare and maintain compliance/ Company’s Act -related documentation, reports, and filings.
- Drafting of Minutes, Agenda and other Board meeting related documents.
- Participate in internal compliance audits and assessments.
- Support the implementation of compliance policies and procedures.
- Assist in drafting, reviewing, and managing legal documents, contracts, and agreements.
- Conduct legal research and provide summaries of findings.
- Support in managing litigation, disputes, and other legal matters.
- Assist in maintaining legal databases and records.
- Assist in the preparation of board meeting materials, agendas, and minutes.
- Help with the filing of statutory documents with regulatory authorities.
- Support in maintaining corporate records, including the company's minute books, registers, and statutory filings.
- Coordinate with external legal counsel and regulatory bodies as needed.
- Participate in special projects and initiatives as assigned by the department.
- Maintain confidentiality and data protection standards.
- Automate reporting and controls.
Attributes required / preferred skills
- Strong attention to detail and organizational skills.
- Strong written and verbal communication skills.
- Ability to conduct thorough research and analysis.
- Proficiency in Microsoft Office Suite (Word, Excel, PowerPoint).
- Basic understanding of regulatory and legal frameworks.
- Ability to work individually and in a team environment, fast-paced deadline-oriented environment.
To Apply, email us at careers@waterfieldadvisors.com
