Compliance Executive (Legal) Vacancy At IIT Ropar, Punjab
Compliance Executive (Legal) — IIT Ropar (Punjab)
A Compliance Executive (Legal) at an institute like IIT Ropar plays a crucial role in ensuring that the institution operates within the legal and regulatory framework applicable to higher education institutions, public sector bodies, and scientific research organizations.
Below are eight major aspects of the role, explained in detail:
1. Legal Compliance Monitoring
What it means:
The Compliance Executive ensures that IIT Ropar abides by all relevant laws, rules, and regulations, including Indian statutory laws and internal policies.
Typical tasks/cases:
Tracking compliance with educational laws (e.g., Institutes of Technology Act, labor and employment statutes).
Ensuring adherence to statutory reporting obligations before government authorities (UGC/AICTE, state regulators).
Monitoring statutory compliance for research grants and intellectual property rules.
Preparing compliance checklists and conducting periodic internal audits.
Why it matters:
Higher educational institutions are subject to multiple legal regimes, and non‑compliance may lead to penalties, loss of funding, or litigation.
2. Contract Drafting and Review
What it means:
Drafting, reviewing, and advising on legal agreements IIT Ropar enters into with vendors, collaborators, contractors, and service providers.
Typical tasks/cases:
Drafting MoUs or Collaboration Agreements with universities, institutes, or industry partners.
Reviewing procurement and vendor contracts to ensure favorable terms.
Advising on terms and conditions for external researchers or consultants.
Ensuring indemnity, liability, and jurisdiction clauses are properly worded.
Why it matters:
Proper contract management protects the Institute’s legal and financial interests and minimizes risk.
3. Statutory Filings and Regulatory Reporting
What it means:
Preparing and submitting required documentation and returns to authorities under applicable laws.
Typical tasks/cases:
Filing returns under income tax, GST, employee welfare statutes, and other applicable tax or regulatory regimes.
Preparing documents required for labor law compliance (PF, ESI, shops & establishments, etc.).
Coordinating submission of annual returns or certificates to appropriate government departments.
Why it matters:
Timely statutory filings help avoid penalties, litigation, or administrative action against the institute.
4. Internal Policy Development
What it means:
Developing internal rules and policies to ensure compliance with law, ethical standards, and best practices.
Typical tasks/cases:
Drafting or updating the Code of Conduct for students and staff.
Preparing policies on research ethics, data protection, anti‑ragging, sexual harassment (POSH), and conflict of interest.
Collaborating with internal committees for policy approvals.
Why it matters:
Strong internal policies help standardize processes, improve governance, and reduce legal exposure.
5. Handling Legal Notices and Litigation Support
What it means:
Receiving, reviewing, and coordinating the Institute’s response to legal notices, and assisting in litigation where the institute is a party.
Typical tasks/cases:
Assessing legal notices received from third parties or individuals.
Advising management on risk exposure and response strategies.
Coordinating with external counsel for court cases, arbitrations, or tribunals.
Preparing legal briefs, affidavits, and documentary evidence.
Why it matters:
Legal disputes can be expensive and reputation‑damaging; early, informed intervention is key.
6. Compliance Training and Awareness
What it means:
Educating faculty, staff, and students on legal compliance and institutional policies.
Typical tasks/cases:
Organizing workshops on ethics, compliance, data protection, and anti‑corruption.
Guiding the research community on statutory requirements for sponsored projects.
Conducting induction briefings on legal obligations for new employees.
Why it matters:
Better awareness reduces inadvertent violations and empowers the community to follow rules proactively.
7. Regulatory Liaison and Representation
What it means:
Acting as the interface with government authorities, regulators, and statutory boards.
Typical tasks/cases:
Liaising with UGC, AICTE, Ministry of Education, tax authorities, and state departments on compliance queries.
Representing the institution during inspections or inquiries by statutory bodies.
Assisting in regulatory audits and responding to compliance defects.
Why it matters:
Good regulatory rapport helps in smoother academic operations and reduces bureaucratic friction.
8. Recordkeeping and Documentation
What it means:
Maintaining accurate, secure, and retrievable legal and compliance records.
Typical tasks/cases:
Maintaining archives of contracts, correspondence, statutory filings, case documents, and internal compliance reports.
Ensuring data privacy and access control for sensitive records.
Preparing documentation for internal audits or external verification.
Why it matters:
Proper documentation supports defensibility in litigation, audits, and regulatory reviews.
Skills and Attributes Needed
To effectively handle these responsibilities, a Compliance Executive (Legal) typically needs:
| Skill/Attribute | Why it’s important |
|---|---|
| Legal drafting & interpretation | For contracts, policies, and legal opinions |
| Knowledge of Indian statutory law | Compliance across multiple domains (education, labor, tax) |
| Communication skills | For training, advice, and regulatory liaison |
| Attention to detail | For filings, recordkeeping, and audits |
| Analytical & risk assessment ability | To spot potential legal pitfalls |
| Ethics & professionalism | To uphold institutional integrity |
Day‑in‑the‑Life: Typical Cases/Tasks
Here are examples of actual work scenarios a Compliance Executive (Legal) at IIT Ropar might handle:
Case 1 — Contract with a Research Partner
Drafting and reviewing an MoU with a national research lab.
Key actions: ensuring IP rights, liability, publication rights, and compliance with grant terms.
Case 2 — Statutory Filing Delay
Police or tax authority flags late GST return.
Key actions: review return, prepare explanation, coordinate payment of dues/penalties, and prevent recurrence.
Case 3 — Data Privacy Issue
A student claims misuse of personal data.
Key actions: assess against internal data protection policy, advise remedial steps, and tighten protocols.
Case 4 — Response to Legal Notice
A contractor sends a notice for alleged breach of supply contract.
Key actions: analyze claim, prepare Institute’s reply, negotiate settlement or defend with external counsel.
Case 5 — Internal Policy Update
Updating the POSH policy to align with recent legal changes.
Key actions: draft revisions, circulate for stakeholder feedback, finalize, and disseminate with training.
Case 6 — Compliance Audit
Institution prepares for an external audit by a regulator.
Key actions: compile documents, verify statutory records, host audit sessions, and address findings.
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