Senior Manager - Legal - BFSI

1. 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 Senior Manager - Legal

1. Due Reporting to Head - Legal in legal matters for Group Companies

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

3. Accountability for Legal Functions assigned/undertaken

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. Review & reporting to Head Legal 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

6. Appearance in IGRC/Arbitration hearing solely or along with Head - Legal

7. Appearing in Police Station/EOW/other Statutory Authority for personal deposition solely or along with Head - Legal

8. Assisting and providing logistics for the Court representatives in Execution of Arbitration Awards & Court decrees, solely or along with Head - Legal

9. Liaison with Advocates counsels for submissions, statements, depositions in Courts solely or along with Head - Legal

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

11. Arrange logistics to Impart and/or arrange due training for Sub-ordinates/ other employees

12. Any matter assigned by Senior(s)