AVP/VP - Legal/Compliance - Equity Capital Markets - Investment Bank

Company Profile: Leading Investment Bank

Role : Vice President - Legal (Equity Capital Markets)

Location : Mumbai

Functional area : Legal/Compliance

Job Description :

Transaction Compliance :

- Handling compliance work for Capital Markets, Mergers & Acquisitions and advisory mandates.

- Drafting, reviewing and vetting various documents and agreements such as NDA's, Engagement letters, agreements, other regulatory documents etc.

- Good knowledge of the Securities Laws, SEBI CDR, Companies Act, 2013 and Rules made there under and other Corporate laws. Updating the team with amendments / developments.

- Experience in handling of SEBI inspections independently.

- Responsible for handling legal issues/aspects for the Investment Banking vertical.

Transaction Legal Advice :

- Assist in structuring deals

- Liaisoning with legal counsels and interacting with external lawyers.

- Strategic counselling on Legal, Contractual and Regulatory issues relating to Investment Banking business of the Firm.

- Providing advice on Securities Law, Rules and Regulations.

- Regulatory and legal interaction on policy issues.

Developing best diligence practices :

- Set standards, standardize forms and evolve systems

- Acting as compliance officer under merchant banking regulations

- Investor Relations in relation to Capital Markets transactions - IPO's / FPO transactions etc.

- Good training skills. Needs to be able to provide training to IB professionals on regulatory changes & be abreast of all new developments.