Compliance Role - Institutional Equities - CA/CS/LLB (8-12 yrs)

Compliance Role - Institutional Equities

Compliance, Legal and Secretarial

BASIC ROLE INFORMATION:

- Function / Department / Vertical: Compliance

- Years of Experience: 2-4 years

- Educational Qualifications: CS or CA with a degree in Law (preferred)

- Management Level: Junior

RESPONSIBILITIES & TASKS:

- Tracking, analysing and implementing laws, rules, regulations and circulars applicable to the Investment Banking (Merchant Banking) business

- Drafting and implementing compliance policies & procedures and monitoring adherence to the same

- Liasoning and co-ordinating with SEBI and other regulators (as required), submission of periodic and event based reports with SEBI

- Working closely with the Corporate Finance and Execution team to resolve their queries

- Drafting and reviewing engagement letters, agreements, documents, etc.

- Co-ordinating with legal counsels for legal support, opinions and clarifications

- Liasoning with internal auditors and statutory auditors

- Efficiently handling regulatory queries, inspections, investigations, etc.

- Conducting employee trainings and organising compliance awareness programs

- Arranging and conducting Committee meetings, maintenance of minutes, etc.

- Assisting in managing the overall compliances related to Investment Banking business

CORE SKILLS & EXPERIENCE REQUIREMENTS

- Good Analytical abilities

- Working knowledge of SEBI regulations

- Inter personal skills, good & clear communication

- Logical & well defined thought process

PERSONAL CHARACTERISTICS

- Pleasing personality