Associate Manager

JOB PURPOSE

This Job is responsible for providing all legal support relating to implementation, monitoring and execution of compliance tool and detailed Audit of compliance tool and its usage.

ORGANISATION CHART

KEY ACCOUNTABILITIES

Accountabilities
(i) Provide support for rectification of existing system /tool
OR

Implement a new compliance tool;
(ii) Support in implementation of Legal and Regulatory Compliances tool at sector level.
(iii) Support in updation of tool
(iv) Providing training to new stake Holders at sector level
(v) Conducting detailed Audit of the tool

KEY ACCOUNTABILITIES - Additional Details

Accountabilities Key Performance Indicators
(i) Provide support for rectification of existing system /tool
OR

Implement a new compliance tool; (i) Analyzing the applicable laws basis research and in support with the vendor.
(ii) Support in addressing the issue raised during Audit;
(iii) Support to check overlapping of the departments and rectify it e. g. Various Account departments are there for a single entity;
(iv) Support in revamping of the system;
(v) Support in identifying the non-functioning units (closed units merged/transferred companies) which are still mapped in system.
(vi) Resolving day to day affairs of entities wrt wrong mapping of the tasks;
(vii) Replacement of old users with new users etc. ,
(viii) Tasks related to specific laws need to be mapped in name of relevant function.
(ix) All other tasks related to compliance tool for the sector.
(ii) Support in implementation of Legal and Regulatory Compliances tool at sector level. (i) Ensuring 100% reporting in tool;
(ii) Reviewing and monitoring Dashboards, Reports and Certificate of Compliances;
(iii) Prepare the MIS/ timely report on usage of tool for respective sector;
(iv) Steps for eliminate the non-compliance and non-reporting;
(iii) Support in updation of tool (i) Coordination with function head in respective sector for legal updates in tool and provide the report of same to group SPOC;
(ii) Coordination for with function heads for Legal updates- to get clean the Old/obsolete laws.
(iii) Check the updation of tool and get confirmation from function head for timely legal updates in tool.
(iv) Providing training to new stake Holders at sector level (i) Providing timely trainings to all stakeholders on requirement basis;
(ii) Training on tool to new users on request of functions;
(iii) Support in arranging the training from External agencies/service provider.

(v) Conducting detailed Audit of the tool (i) Conduct 100% Audit of the tool for respective sector;
(ii) Check the compliance on ground level and evidence for the same;
(iii) Check the usage of the tool at optimum level;
(iv) Check the supporting documents for compliances;

EXTERNAL INTERACTIONS

1) Directors of the respective companies
2) Statutory authorities like Registrar of Companies, Depositories(NSDL, CDSL), Stock Exchanges, Registrar& Transfer Agents etc.
3) Statutory Auditors
4) Secretarial Auditors
5) Banks, Financial Institutions etc

INTERNAL INTERACTIONS

1)Finance & Accounts and operational teams
2)Sector Secretarial Teams
3) Sector Legal Teams
4) Secretaries of Directors and senior management
CSO and other senior colleagues in the CSD. CFOs or Finance controllers and managers of other operational departments.

FINANCIAL DIMENSIONS

• To maintain turnaround time to enable to close the documents/queries within the time line
• Contribute to the Department goal of ensuring that the expenditure by the department is within the approved Annual Operating Plan by the GHB.

OTHER DIMENSIONS

• Coordinating with management trainees and/or coordinators
• Support in governance initiatives of the Group

EDUCATION QUALIFICATIONS

• Skills:

• Proficient in MS PPT, WORD and EXCEL
• Strong knowledge of regulations related to Compliances.
• Ability to work with cross-functional sector/business units.
• Have experience to handle the compliance tool;

• Education:

• Bachelor of Law, added advantage qualified Company Secretary

RELEVANT EXPERIENCE

• About 5 years of post-qualification experience in a law firm or as an in-house counsel and having experience in usage/implementation of compliance tool.
• Good knowledge of Companies Act, SEBI regulations, FEMA regulations and RBI Circulars/ notifications, sector specific laws and any other applicable
• Good presentation, negotiation and communication skills

COMPETENCIES