Senior Role - Compliance & Legal - CS + LLB - IT/Financial Services

This is a senior level position in a company which is a part of a prominent group in India. Its partly into IT & Financial Services.

Company Secretary & LLB needed with excellent experience in Compliance and understanding of RBI regulations.

Please read the job description carefully before applying. If selected for the interview please discuss the job description in detail with the company.

1. Mutual Fund Distribution services and related digital campaigns

- Ensure compliance with legal and statutory requirements in all promotional/digital marketing campaigns/digital initiatives.

- COMPANY being sub-distributor submits a yearly declaration with the distributor (ORGANIZATION) under AMFI regulations. COMPANY directly impaneled with all major AMCs and will be acting as a direct distributor with effect from 1st Aug 2017.

- COMPANY being intermediary is not required to directly comply with the provision under Prevention of Money Laundering Act 2000 (PMLA) and FATCA regulation. We also ensure the roles and responsibility are clearly defined in all the ups.

- Ensure Fresh application, Renewal or Remapping form is processed and sent to through CAMS for EUIN for employees.

- Liaising with the CAMS for renewal/registration of ARN certificate on event based

2. Campaigns/Advertisement/ Listing of different third party product such as Insurance, Real Estate listings, FD/Bonds, Personal loans, Equity Research listing

- Ensure all products are rolled out after proper review of risk and approvals from the stakeholders.

- Review and ensure approval from CISO/CCRO office on all type of new launches.

3. Mobile App services such as notifying various deals, offer and discounts available on various credit cards and linked bank account of the registered user on Maxit app

- Ensure terms and condition of vendors for such offers and deals are approved by business and incorporate necessary disclaimers as necessary for offers and deals.

4. Instant Investment ( Equity cum Demat) Account opening in association with THE ORGANIZATION

- As informed by business/ product team from time to time responsible for compliance with applicable acts and regulation for respective products and services such as e-kyc, e-sign, Instant Loan, Paperless transactions in MF, Instant Equity Account opening, NACH mandates, using of credit information etc.

- COMPANY has obtained registration from Bombay Stock Exchange to act as Authorised Person of The organization and further will qualify as Information Financial User under NBFC - Account Aggregation guidelines 2016 in the capacity of Authorised Person of The organization as indirectly regulated by exchange guidelines.

5. Providing Aadhaar based E-Sign and E- KYC services and related process in tie up with UIDAI, NPCI, and E-Mudra.

6. Procuring credit information in tie up with THE ORGANIZATION and Experian for Instant Loan proposition and credit card.

7. International Financial Corporation related compliance.

- Ensure compliance with International Financial Corporation related actionable.

8. Legal Updates

- Team member monitors the updates from the regulator's website which impacts or may impact us e.g. MCA, IRDAI, AMFI, SEBI, ICSI, cafe mutual etc. The team member analysis the same and update the same to the reporting Manager. If the matter has an impact, necessary steps are taken to apprise the same to senior management and to take suitable decisions.

9. Co. related Insurance Policies like Cyber Policy, D&O, PI, Fidelity, Office package and etc.

- Coordinating and handling renewal procedure and formalities.

10. RBI Annual Filing for Foreign Investment in Co.

- Filing annual Return on Foreign Liabilities and Assets with RBI based on the infusion of funds by a foreign investor.

11. Trade mark and website domain name registration/renewal

- Ensure registration and renewal of IPR (trademarks and website domain names).

12. Internal/External Audit

- Liaising with auditors in Internal/External audit for e.g. Secretarial, Statutory, Internal of the company, Internal audit team etc., and facilitate assistance based on the requirement.

13. Escalation/Complaint Handling

- The complaints/matter escalated is sent to compliance for its checking. Team after study, provide the crux of the issue and basis that we suggest next possible course of action.

14. Other Activities (Event based)

- Drafting/vetting/implementation of internal policies, Review of SOP's of various department and signoff, KRD scripts and website Terms & Conditions/Disclaimers.