Senior Manager - Compliance and Legal (Compliance & Legal - HPMC)

### **What are we looking for?**

The role is responsible for ensuring compliance with Company Law, PFRDA Pension Fund \& PoP Regulations and other relevant regulations, Companies Act, 2013, and all statutory and governance requirements applicable to the Company. It supports Board and Committee functioning, drives regulatory compliance, manages statutory filings, oversees policy frameworks, and ensures timely submissions to PFRDA, NPS Trust, and other authorities.

### **What does the job entail?**

A. Corporate Secretarial \& Governance

• Ensure compliance with Companies Act, Secretarial Standards, and applicable governance norms.
• Support Board and Committee meetings (Audit Committee, NRC, RMC, Investment Committee) through notices, agenda notes, minutes, and follow\-up action items.
• Maintain statutory registers, ROC filings, and corporate records.
• Assist in director appointments, fit\-and\-proper compliance, remuneration\-related filings, and disclosure management (MBP‑1, DIR‑8 etc.).
• Draft resolutions, charters, policies, and governance documentation.

B. PFRDA Regulatory Compliance (PF \& PoP)

• Ensure adherence to PFRDA PF Regulations, PoP Regulations, PMLA compliances, circulars, and periodic directives.
• Coordinate PFRDA and NPS Trust inspections; prepare responses and monitor compliance closure.
• Prepare regulatory returns including compliance certificates, periodic filings, records, regulatory reporting \& correspondence, and quarterly/annual submissions.

C. Legal \& Compliance

• Develop, implement, and maintain compliance frameworks, policies, SOPs, and periodic compliance monitoring plans.
• Interpret regulatory updates and drive implementation across functional teams.
• Maintain and update key policies: Insider Trading policies, Outsourcing, Code of Conduct, AML/KYC. Ensuring compliance with the policies.
• Maintain corporate and regulatory records in digital and physical formats.

D. Stakeholder Coordination

• Liaise with internal teams including Investment, Operations, IT, HR, Finance, Risk, and Business for compliance implementation.
• Coordinate
• with Trustees, Custodians, CRA, PoP partners, auditors, banks, and legal counsel.

E. Skills \& Competencies

• Sound understanding of Companies Act and secretarial governance.
• Drafting capability for policies, regulatory filings, agendas, and minutes.
• Effective communication skills and ability to engage with regulators and senior management.

### **Work Experience**

• 6\-7\+ years’ experience in secretarial and regulatory compliance roles in financial services, pension, insurance, AMC, or banking sectors.

### **Essential Qualification**

• Company Secretary. (LLB/ Compliance Certification is preferred).

### **Preferred Skills**

Work related skills

Ø Experience in dealing with sectoral regulator is an added advantage

Ø Sound understanding of Companies Act and secretarial governance.

Ø Effective communication skills and ability to engage with regulators and senior management.

Ø Drafting capability for policies, regulatory filings, agendas, and minutes.