About the Company A premier financial services institution delivering comprehensive investment banking, institutional equities, asset management, and wealth solutions. The firm is committed to maintaining the highest standards of legal governance and regulatory compliance across its SEBI-regulated entities.

Role 1: Manager / Assistant Manager – Legal (2 Positions)

Reporting To: Head of Legal

Location: Lower Parel, Mumbai

Position Overview

We are seeking dynamic legal professionals to support our internal legal function across Equity Capital Markets (ECM), Investment Banking, Asset Management, and Merchant Banking. Working directly alongside senior legal counsel, this role provides deep exposure to transaction execution, regulatory advisory, corporate governance, and complex commercial drafting.

Key Responsibilities

- Transaction Execution: Assist senior counsel in drafting, reviewing, and negotiating transaction documentation, including Joint Venture agreements, Schemes of Arrangement, Escrow Agreements, Placement Agreements, and Share Purchase Agreements (SPAs).
- Commercial Contracting: Review, draft, and negotiate routine commercial contracts, including Vendor Agreements, Non-Disclosure Agreements (NDAs), Master Service Agreements (MSAs), IT contracts, and engagement letters.
- Regulatory Advisory: Monitor, interpret, and advise internal business units on SEBI regulations, circulars, and statutory guidelines governing market intermediaries.
- Risk & Governance: Identify potential legal and operational risks across business lines, proposing mitigation strategies and escalating key issues to senior leadership.
- Litigation & Disputes: Assist in managing corporate disputes, litigation documentation, regulatory notices, and enforcement proceedings.
- Policy & Internal Controls: Draft, update, and implement internal legal SOPs, compliance manuals, and corporate governance frameworks.
- Stakeholder Management: Collaborate closely with Compliance, Operations, and Business Desks to ensure seamless transaction workflows and regulatory alignment.

Qualifications & Experience

- Education: LL.B. or LL.M. from a premier law school.
- Additional Qualification: Company Secretary (CS) certification is a strong advantage.
- Experience: 2–5 years of post-qualification experience (PQE) in corporate legal departments or law firms, with a focus on Capital Markets / Financial Services.

Key Competencies

- Solid grounding in SEBI framework, Companies Act, and capital markets documentation.
- Strong drafting, negotiation, and analytical skills.
- Excellent verbal and written communication.




- Proactive mindset with a keen interest in building a long-term in-house legal career in financial services.

Role 2: Manager – Broking Compliance Reporting To: Vice President – Compliance

Location: Lower Parel, Mumbai

Position Overview The Manager – Broking Compliance will oversee end-to-end regulatory compliance, secretarial governance, and regulatory reporting for Institutional Broking, Depository Participant (DP) services, Research Analysis, and Offshore operations. This role acts as a primary liaison with key market regulators and ensures robust adherence to domestic and international regulatory standards.

Key Responsibilities

- Regulatory Liaison: Act as a key interface with SEBI, Stock Exchanges (NSE/BSE), Depositories (NSDL/CDSL), and offshore regulators (e.g., MAS, FCA, SEC, FINRA).
- Statutory Submissions & MIS: Ensure accurate and timely submission of daily, weekly, monthly, quarterly, and annual regulatory filings, maintaining comprehensive compliance MIS trackers for senior management.
- Audit & Inspection Management: Coordinate and lead internal audits, system audits, cybersecurity reviews, and regulatory inspections conducted by SEBI, Exchanges, and Depositories.
- Regulatory Dissemination & Training: Monitor and interpret regulatory circulars, assess operational impact, update policies, and conduct ongoing compliance training for internal stakeholders.
- Surveillance & Ethics Governance: Oversee Anti-Money Laundering (AML) frameworks, Code of Conduct adherence, employee personal trading approvals, and trade surveillance activities.
- Secretarial & Policy Vetting: Assist in secretarial compliance under the Companies Act and Secretarial Standards; review corporate communications and marketing materials from a compliance lens.

Qualifications & Experience

- Education: Graduate/Post-Graduate in Law, Commerce, or Finance. CS qualification is highly desirable.
- Experience: 4–5 years of core compliance experience within a reputed institutional equity broking firm or capital markets setup.

Key Competencies

- Deep technical knowledge of SEBI broking regulations, exchange bye-laws, DP regulations, and Research Analyst (RA) guidelines.
- Familiarity with offshore regulatory compliance frameworks (MAS/FCA/FINRA/SEC) is a distinct advantage.
- Superior drafting and business communication skills.




- Ability to prioritize and execute multiple regulatory deadlines in a fast-paced setting.

Role 3: Company Secretary

Reporting to: Senior Manager

Key Responsibilities

We are seeking an experienced Company Secretary to manage end-to-end secretarial operations across the Ambit Group. The role focuses primarily on secretarial governance, with additional responsibilities to support broader compliance initiatives as needed.

1. Statutory & Regulatory Compliance

- Ensure strict adherence to the Companies Act, 2013, Secretarial Standards (SS-1 & SS-2), and applicable corporate laws.
- Prepare, verify, and file all statutory returns, forms, and disclosures via the MCA portal within prescribed timelines.
- Draft and finalize the company’s Annual Report in full compliance with statutory requirements.
- Maintain updated statutory registers, corporate records, digital signatures (DSCs), and board resolution trackers.
- Execute corporate actions, share allotments, transfers, and reconciliations in coordination with Depositories (NSDL/CDSL) and RTAs.
- Act as the primary liaison for statutory/secretarial auditors, regulators, and legal counsel during periodic audits and inspections.

2. Board & Committee Management

- Plan, convene, and document meetings for the Board of Directors, Board Committees, and Shareholders (AGM/EGM).
- Draft and distribute comprehensive board packs, notices, agendas, and minutes within mandated timelines.
- Advise the Board and senior management on corporate governance best practices, secretarial standards, and regulatory updates.

3. Governance & Policy Framework

- Oversee and implement robust internal secretarial controls and compliance monitoring systems across group entities.
- Track regulatory changes, assess business impact, and update corporate policies to align with evolving statutory frameworks.

4. Stakeholder & Corporate Communications

- Serve as the key secretarial liaison for regulators, statutory authorities, external advisors, and shareholders.
- Provide secretarial and governance guidance to internal business units for transactional and operational matters.

Qualifications & Experience

- Education: Qualified CS and active Associate/Fellow Member of the Institute of Company Secretaries of India (ICSI).
- Experience: Minimum 5–8 years of post-qualification experience in corporate secretarial functions (BFSI or corporate group background preferred).
- Core Competencies: In-depth mastery of the Companies Act, 2013, MCA21 portal workflows, board procedures, and entity management.
- Additional Requirement: Willingness to be designated as the KMP / Company Secretary for specific group companies as needed.

📌 Capital Markets Legal/ Compliance/ Company Secretary roles (Mumbai)
🏢 Green Lane Talent Management
📍 Mumbai