Role Summary:
We are seeking a senior compliance professional to lead the corporate and regulatory compliance function at BDO India. Reporting to the General Counsel, the role owns firm-wide compliance across the groups entities and its obligations as a member of the BDO global network, with a particular focus on corporate/secretarial (ROC) compliance and the firms securities and capital structure. The successful candidate will advise leadership on regulatory risk and mitigation, provide oversight to the audit/professional compliance team, and build out and lead a function that currently has no senior layer.
Designation: Compliance Lead
Reporting Manager: Group General Counsel & Partner
Experience: 10-15 years of relevant PQE
Qualification: Company Secretary. LLB and/or CA an advantage
Function: Legal & Compliance
Location: Mumbai - Dadar
Key Responsibilities:
1. Compliance Framework & Governance:
- Own and operate the firms corporate compliance framework across all Indian entities and support functions, under the direction of the General Counsel.
- Establish, embed and continuously improve compliance policies, SOPs and internal controls appropriate to a multi-entity, regulated professional-services group.
- Maintain a firm-wide compliance calendar, risk register and monitoring dashboards, ensuring timely identification, escalation and closure of compliance matters.
2. Corporate & Regulatory Compliance:
- Lead compliance under applicable SEBI regulations and the Companies Act, 2013 and LLP Act, 2008, across the groups c.20 entities (private limited companies, LLPs and regulated entities).
- Manage all ROC/MCA filings, statutory registers, event-based and annual compliances, and correspondence with regulatory authorities.
- Track and interpret regulatory developments, assess their impact on the firm, and translate them into actionable requirements.
3. Securities & Capital Compliance:
- Administer the firms equity and capital instruments, including ESOP schemes (grant, vesting, exercise, valuations and disclosures) and OCRPS and other securities (issuance, conversion, redemption and related filings).
- Ensure capital-structure actions comply with the Companies Act, and related valuation and tax requirements.
4. Secretarial & Board Support:
- Oversee secretarial compliance across all entities, supporting boards and committees with agendas, resolutions, minutes and statutory records.
- Coordinate inter-company governance matters across the group structure.
- Provide oversight and coordination of the audit/professional compliance team, maintaining sufficient working knowledge of IBBI regulations, FIU, CA-profession regulation (ICAI, NFRA and, where applicable, PCAOB) to supervise effectively.
- Ensure adherence to BDO global network requirements including applicable risk, quality and policy obligations and manage related network reporting.
5. Advisory, Risk & Investigations:
- Advise the General Counsel and senior leadership on regulatory change, compliance risk and mitigation strategies.
- Conduct risk assessments and compliance reviews across departments; lead internal investigations into breaches or concerns and recommend remedial action.
- Design and deliver compliance training and awareness programmes across the firm.
6. Reporting & Team Leadership:
- Provide regular compliance updates and reports to the General Counsel and, through the GC, to senior leadership and the Board as applicable.
- Build, mentor and lead the compliance team establishing a senior layer where none currently exists operating hands-on while developing organisational capability.
Key Requirements:
1. Qualifications:
- Qualified Company Secretary (CS) strongly preferred. An LLB and/or CA qualification will be a distinct advantage.
2. Experience:
- 10-15 years in corporate, regulatory and secretarial compliance roles, ideally within a regulated, multi-entity group or a large professional-services environment.
- Demonstrated experience advising senior leadership and managing cross-functional compliance matters.
- Track record of building or strengthening a compliance function and leading teams and projects.
3. Core Knowledge - Must-have:
- Strong, hands-on command of SEBI regulations and ROC / Companies Act and LLP Act compliance.
- Practical experience with securities and capital instruments, including ESOPs and preference shares (e.g., OCRPS).
4. Added Advantage:
- Exposure to FEMA, PMLA / FIU (AML), IBBI and data-protection (DPDP) requirements.
- Working familiarity with CA-profession regulation (ICAI / NFRA / PCAOB) and global network compliance frameworks.
5. Competencies:
- High analytical ability, sound judgement and strong attention to detail.
- Excellent drafting, communication and stakeholder-management skills; fluent written and spoken English.
- Ability to operate independently and hands-on while building structure and influencing senior stakeholders.
- Proficiency with MS Office, excel, PPT, AI usage and secretarial / MCA compliance tools.
6. Reporting & Key Relationship:
- Reports to: General Counsel.
- Key internal relationships: Firm leadership and partners, legal, risk, finance and HR teams, and the audit/professional compliance team.
- Key external relationships: Regulators and statutory authorities, external counsel and advisors, and BDO global network contacts.
About Company:
BDO is a global network of professional services firms with a presence in over 166 countries, revenue of over USD 14 billion, and experience of over 60 years. Its a leading service provider for the mid-markets with client service at its heart. BDO India Services Private Limited (or BDO India) is the India member firm of BDO International. BDO India offers strategic, operational, accounting and tax, and regulatory advisory & assistance for both domestic and international organizations across a range of industries.
BDO India is led by more than 300+ Partners & Directors with a team of over 10,000+ professionals operating across 14 key cities. We expect to grow sizably in the coming 3-5 years, adding various dimensions to our business and multiplying and increasing the current team size multi-fold. The firm operates through a group of legal entities in India spanning private limited companies, LLPs and regulated entities and forms part of the global BDO network. Across this structure, BDO India is committed to the highest standards of governance, quality and regulatory compliance.
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