Our client is a leading Financial Advisory firm.
- 8+ Years of Relevant Experience in financial firms
- Chartered Accountant or Company Secretary (CS) with a Degree in Law.
1. Compliance Role
- Timely enhancement, development and implementation of compliance policies
- Identify and resolve potential compliance issues or problems.
- Conduct training sessions and Compliance meetings for business units & Staff members on regulatory changes
- Responsible for Legal Framework
- Creation & updation of Legal & Compliance Manual.
- Interaction with other departments for effective implementation of policies.
- Independently drafting and vetting various agreements entered with clients, business associates, vendors, service providers, land lords, service level agreements with channel partners, institutional clients and other third parties.
- Preparing/vetting of various MOU, agreements/application forms and other documents in respect of business segments. Drafting/review of contracts and agreements relating to day to day operations including leave and licence, trademarks, copyrights and other intellectual property matters.
- Filing of arbitration/litigation cases against defaulting clients and initiate/facilitate recovery proceedings. Co-ordinate all legal matters pertaining to functions carried out by the entities including litigation and Court matters/hearings. Interaction with advocates, solicitors and consultants.
- Pre-clearance of research reports, advertisements and all other types of client communications. Examine and clear various publicity material/brochure and documents brought out by the sales/product/research team.
2. Compliance Audit Role:
- Managing all Regulatory Audits including annual ISO Audit
3. Customer Relationship:
- Investigating & Resolving Customer Complaints.
- Customer Communication, Know Your Customer (KYC) Process
CTC: Best as per Industry Standard.
I would be glad to discuss this opportunity with you in detail, looking forward for your profile at Consultant029@hcapital.in