Assistant Manager - Compliance & Legal

Multi-Act; Mumbai; On-site; INR 3,000,000 - 5,000,000; Full time

Job summary

Multi-Act Trade & Investments, founded in 1998, is a leading investment research firm in India. We seek a senior compliance leader to own organization-wide regulatory compliance across PMS, RIA, AIF, and NBFC businesses, develop policies, oversee filings and maintain internal controls. The role requires a CS with legal background, LL.B.

preferred, and up to 2 years of relevant experience. The candidate will coordinate with external advisers, keep the Board informed of regulatory developments,

Qualifications

• Qualified CS with a legal background.
• LLB is preferred.
• Up to 2 years of relevant experience in legal, corporate secretarial or regulatory compliance functions.
• Strong command of legal drafting, regulatory interpretation and compliance analysis.
• Sound understanding of financial services regulations and corporate governance frameworks.
• Excellent written and verbal communication skills.
• Strong analytical judgement, problem-solving ability and attention to detail.
• High professional integrity and the ability to engage effectively with the Board and key stakeholders.

Responsibilities

• Own organization-wide regulatory compliance across PMS, RIA, AIF and NBFC businesses.
• Develop and implement compliance policies and internal controls.
• Oversee regulatory filings, legal documentation and corporate records.
• Coordinate with external legal and regulatory advisers.
• Inform the Board of material regulatory developments and risks.
• Maintain governance, conflict-management and control frameworks.
• Monitor adherence to regulatory and internal requirements and address breaches.
• Draft, review and maintain legal documents.
• Oversee personal trading compliance and reporting.

Skills

Regulatory compliance

Legal drafting

Governance frameworks

Board communication

Financial services regulations

Analytical thinking

Attention to detail

Education

Qualified Company Secretary (CS)

Bachelor’s degree in Law (LLB)

Job description

Company Description

Multi-Act Trade & Investments, founded in 1998, is a leading investment research firm serving ultra high-net-worth individuals and family offices in India. Through its subsidiary Multi-Act Equity Consultancy, the company provides Portfolio Management Services supported by deep, independent research. Its core offerings include Portfolio Management Services, Portfolio Diagnostic Reports, Business Evaluations, Quality of Earnings Analysis, and Mutual Fund Analytics. Multi-Act also delivers global investment and private equity solutions via its partner entities Multi-Act EquiGlobe and Multi-Act Private Equity Investment Trust. The company is licensed by SEBI for both Portfolio Management Services and Investment Advisory, reinforcing a strong focus on regulatory compliance and investor protection.

Role Description

Own organization-wide legal and regulatory compliance across the PMS, RIA, AIF and NBFC businesses, covering applicable SEBI, RBI and other regulatory requirements. The role develops and implements compliance policies and internal controls; oversees regulatory filings, legal documentation and corporate records; coordinates with external legal and regulatory advisers; and keeps the Board of Directors informed of material regulatory developments, emerging compliance risks and their implications for the organization.

Role and Responsibilities

Primary Responsibilities:

• Regulatory Framework & Internal Controls: Maintain governance, conflict-management and control frameworks.
• Compliance Monitoring & Breach Management: Monitor adherence to regulatory and internal requirements, investigate and resolve breaches, support appropriate escalation and remediation, and strengthen controls to prevent recurrence.
• Legal Documentation: Draft, review and maintain legal documents.
• Personal Trading Compliance: Oversee employee trading policies and controls.
• Regulatory Filings & Reporting: Coordinate and review regulatory filings and reports to support accurate and timely submission.
• Regulatory Compliance Oversight: Ensure compliance with SEBI, RBI and other requirements.
• Policy Testing & Review: Test controls, identify gaps and update policies.

Secondary Responsibilities:

• Regulatory Developments: Track changes in the regulatory environment and prepare assessments of their applicability, feasibility, business implications and implementation requirements.
• Board & Employee Communication: Apprise the Board of Directors and employees of relevant regulatory developments, changes in compliance obligations and the implications of new or amended policies.
• New Products & Business Initiatives: Advise on the legal and regulatory frameworks applicable to the launch of new products, introduction of new business lines and establishment of investment vehicles.
• Legal & Regulatory Due Diligence: Lead legal and regulatory due diligence for proposed acquisitions, new business initiatives and products under consideration for launch.
• Regulatory Advisory: Provide guidance on regulatory requirements, governance structures and compliance considerations arising from evolving business activities.

Qualifications and Education Requirements

Required Skills:

• Qualified Company Secretary (CS) with a legal background
• Bachelor’s degree in Law (LLB) - Preferred
• Upto 2 years of relevant experience in legal, corporate secretarial or regulatory compliance functions.
• Strong command of legal drafting, regulatory interpretation and compliance analysis.
• Sound understanding of financial services regulations and corporate governance frameworks.
• Excellent written and verbal communication skills.
• Strong analytical judgement, problem-solving ability and attention to detail.
• High professional integrity and the ability to engage effectively with the Board and key stakeholders.