Manager

Job Description: If LLB: Drafting / vetting agreements
Agreements/ Contract with Institutions, MF, Real Estate, Insurance, etc
Agreements/ Contract with Service Providers/ Vendors
Agreement for Premises taken on leave and license at branches
Other Agreements
If CA, CS or LLB: Draftings Notices/ Reply to Notices/ Statement of Case for Arbitration
Legal Notice to clients to recover dues
Reply to legal notice sent by clients/ third parties
Reply NSE/ BSE Investor Grievance Panel
Reply to letters sent by Exchanges/ SEBI/ RBI/ Other Statutory Authorities where compliance dept is involved
Design/ draft Additions/ Modifications/ Deletions to Policies, Procedures, documents, etc designed/ drafted by Compliance
Statement of Case for filing Arbitration
Appearance:
Arbitration Hearings
IGRC Hearings
Meeting with Advocates
Court hearings
Others not listed above
Compliance:
Maintenance of Compliance Calendar
Review and reporting of changes introduced by SEBI/ Exchanges
Review and reporting of incomplete tasks sufficiently in advance
Liaison for Exchange/ SEBI Inspection/ Internal Audit
Implementation of Tasks assigned by HOD/ Management after due deliberations