Head - Legal - Broking &AIF

Head Legal for Broking and AIF refers to a senior legal professional within a financial services firm who oversees all legal matters related to both stock broking activities and Alternative Investment Fund (AIF) operations, managing compliance with relevant regulations for both areas, including SEBI guidelines.

Key responsibilities of a Head Legal for Broking and AIF:

Legal Compliance:

- Ensuring adherence to all applicable laws and regulations related to stock broking and AIF management, including client agreements, disclosure requirements, and trading activities.

Contract Drafting and Review:

- Reviewing and drafting legal documents for client onboarding, investment agreements, fund documentation, and other relevant contracts for both broking and AIF operations.

Regulatory Liaison:

- Interacting with regulatory bodies like SEBI to address legal queries, compliance issues, and reporting requirements related to AIFs and stock broking activities.

Risk Management:

- Identifying potential legal risks associated with broking and AIF operations and implementing mitigation strategies.

Litigation Support:

- Managing legal disputes and representing the company in litigation matters related to broking and AIF activities.

Legal Team Leadership:

- Leading and supervising a team of legal professionals responsible for day-to-day legal operations within the broking and AIF divisions.

Relevant Experience and Skills:

- Extensive experience in financial services law, particularly in areas of stock broking, securities regulations, and AIFs.

- Deep understanding of SEBI regulations governing AIFs and stock exchanges.

- Strong contract drafting and negotiation skills

- Excellent analytical and problem-solving abilities to identify and address legal issues proactively.