Compliance & Legal Role - Financial Services - LLB (8-10 yrs)

Compliance & Legal _ Depository Participants (Financial Services)

Job Description of the Candidate:

Minimum qualifications required: CS and LLB, with 8 +years of experience in compliance management in a company relating to securities market such as Stock Exchange, Clearing Corporation, Stock Broker, Depository Participant, etc.

Legal, Compliance and Regulatory Functions:

- Drafting of replies and correspondences with regulatory authorities

- Monitoring and ensuring compliance with applicable laws including SEBI Regulations, Circulars, guidelines, Company Law, Information Technology laws, Data Privacy Laws, Business laws, Labour laws, etc.

- Co-ordinating with the various departments and helping them in all compliance matters

- Remain updated on various new laws, amendments of existing laws, circulars, notifications, etc. and report to the management

- Drafting, and reviewing various policies and standard operating procedures of the organisation.

- Legal research on various laws, framing views and opinions and providing legal advice to other departments.

- Assistance in handling investor complaints, litigations and other disputes.

- Assistance in handling internal audits, external audits, and regulatory inspections.

Qualification: CS and LLB (LLB is compulsory)

Desirable: Other professional courses such as NISM, Securities Law Course of Government LawCollege.

Essential:

- Sound knowledge of Securities Laws, Corporate Laws, Business Laws and various compliances applicable to a company.

- Good Communication skills

- Superior drafting skills

- Computer and technology skills - should be proficient in MS office applications (Word, Excel and powerpoint) and able to use softwares and IT technology for generating efficiency in compliances.