Team Head - Legal/Compliance & Secretarial

Role and Responsibilities

- Managing, supervision and responsible for the following are as to protect the company's reputation and various risk involved:

- Compliance

- Legal

- Secretarial

- In depth knowledge of the compliance, legal and secretarial functions related to the company.

- Adhering to compliances of NSE, BSE for proprietary trading, institutional equity broking, debt investments/trading, etc.

- Adhering to the SEBI regulations and compliances related to Merchant Banking and Research Analyst licenses and acting as the Designated Compliance Officer for the same.

- Handling of all Audits (i.e., Regulatory, Statutory, Internal, Offshore, etc.) related to the company.

- Handling all the secretarial functions of the company by arranging, managing and documentation of various statutory meetings. Ensuring that the Company is on track with the responsibilities under Company Laws by timely return filings and maintainance of statutory registers.

- Drafting, reviewing, negotiating, and settling legal and transactional documents & agreements; Preparing Contracts / Agreements

- Providing solutions based on the regulations for all business requirements.

- Interacting with the statutory authoritiesfor getting the necessary approvalsrelated to new businesses.

- Advising on all legal and compliance matters related to the company.

- Develop effective relationship and engagement with internal & external stakeholders, international stake holders, clients including international clients, business associates and other function groups.

- Managing the team in the most effective and efficient manner.

Qualification:

- A.C.S/F.C.S. (Associate/Fellow member of The Institute of Company Secretaries of India)

- LL.B. (Bachelor of Laws)

- B.Com. (Mumbai University)

- 10-16 years of experience in the field of Compliance, Legal and Secretarial in Stock Broking, Investment Banking or Capital Markets.

- Sound knowledge of Company Law, Compliance, and Secretarial Practice. Strong knowledge of SEBI rules & regulations

- Ability to handle the compliance and legal functions independently

- Exposure to Operations risk review & audit

- Strong analytical bent of mind.

- Sound communication and Interpersonal skills

- Process oriented