Manager - Legal - BFSI

LEGAL FUNCTION

1.1. Drafting/Vetting related

1.1.1. Drafting of Agreements/Undertakings/Indemnity/Declarations.

1.1.2. Vetting of Agreements/Undertakings/Indemnity/Declarations received from counter-parties

1.2. SEBI related

1.2.1. Directives/Notices from SEBI with legal implications

1.2.2. Client Complaints (Broking/IPO/PMS/Investment Banking)

1.3. Stock Exchange related (NSE, BSE & MCX)

1.3.1. Notice to clients (for recovery of dues)

1.3.2. Client Complaints (Broking/IPO/PMS)

1.3.3. Investor Grievance Cell proceedings

1.3.4. Arbitration Proceedings - Claim filed by Broker/client

1.4. Court Related

1.4.1. Appeals filed by Broker/Client

1.4.2. Filing Execution Petition

1.4.3. Out of court settlements

1.5. RBI related

1.5.1. Directives/Notices from RBI with legal implications

1.5.2. Client complaints

1.6. Police, EOW, Income Tax Dept, etc related

1.6.1. Appearance/statement

1.6.2. Data Submission

Responsibilities of Manager - Legal

1. Due Reporting to Senior Manager - Legal in Legal matters for Group Companies

2. Due concurrence from reporting Senior(s) before actions

3. Accountability for Legal Functions performed

4. Updated understanding of rules, regulations, byelaws, circulars, guidelines, orders, adjudications, consent terms issued by Regulators including SEBI, Stock Exchanges, Depositories, RBI, etc, judgements by Exchange/Other Arbitrators and/or Courts which is directly or indirectly related to the roles performed.

5. Drafting and/or vetting of Documents, Agreements, Undertakings, MOU, etc. and report to Senior Manager - Legal.

6. Record maintenance of Due dates of Agreements, undertakings, MOU, etc for due renewal well in advance.

7. Review & reporting of client complaints, hearings scheduled at Exchange Investor Grievance Cell/ Arbitration Forum, hearings scheduled at courts in suits filed by Company/Counter-parties and initiate follow-up actions

8. Liaison with Advocates, counsels for submissions, statements, depositions in Courts

9. Legal Fee/Expenses Documentation & Management

10. Assignment of functions/roles/responsibilities/accountability to sub-ordinates

11. Any matter assigned by Senior(s)