Manager – Secretarial & Compliance

Equitymaster ( A Quantum Information Services Brand) is looking for a Manager Secretarial & Complianceto ensure that the organisation is fully compliant with all applicable laws, regulatory requirements, and internal policies.

As a member of the secretarial and compliance team, you will be responsible for implementing company policies and ensuring organisations compliance with regulatory frameworks governing financial research and advisory services. This includes identifying compliance risks, implementing policies and procedures, monitoring adherence, and ensuring that the company operates in a legal and ethical manner while supporting business objectives.

The role requires a professional who is confident, detail-oriented, and capable of independently taking positions on compliance matters, including raising concerns where required.

• Implement and monitor compliance with applicable laws, regulations, and internal policies.
• Ensure adherence to regulatory requirements including (but not limited to):

SEBI (Research Analysts) Regulations, 2014

SEBI (Investment Advisers) Regulations, 2013 (where applicable)

AMFI guidelines

MCA / ROC filings and corporate law compliances

• Coordinate with management and internal teams to identify potential compliance risks and gaps.
• Design, implement, and update compliance policies, procedures, and internal controls.
• Handle instances of non-compliance by proposing and executing practical corrective action plans.
• Conduct periodic compliance audits and reviews to identify weaknesses or regulatory exposure.
• Prepare and present compliance reports to senior management as required.
• Act as a point of contact for internal compliance queries and regulatory clarifications.
• Create awareness among employees regarding compliance obligations and internal processes.
• Ensure timely filings, disclosures, and record-keeping as mandated by regulators.

• Strong knowledge of applicable legal and regulatory frameworks governing financial research and advisory businesses.
• High standards of integrity, professional ethics, and independence of judgment.
• Excellent communication skills, with the ability to clearly explain compliance requirements to both management and employees.
• Strong attention to detail and ability to identify compliance risks that may otherwise be overlooked.
• Practical problem-solving ability to address compliance challenges without disrupting business operations.
• Ability to take ownership of compliance matters and stand by reasoned decisions when required.

• QualifiedCompany Secretary (CS) orLL B in Corporate / Securities Law .
• 23 years of relevant experience in compliance, legal, or regulatory roles, preferably in financial services, research, or advisory firms.
• Prior exposure to SEBI-regulated entities will be an added advantage.