ASK Investment Holdings Pvt Ltd

Number of positions: 1

Location: Mumbai

Job Functions:

- Responsible for handling all Legal & Secretarial functions for various business divisions at a Group level.(Business Lines – Wealth Management, Investment Management, Real Estate PE)

- To develop, maintain and oversee Regulatory Compliance Programmes

Responsibilities:

- To ensure the overall compliance with various Corporate Laws with respect to all companies under the group and ensure best corporate governance practices in the corporate.

- Organize and arrange for various statutory approvals required under Companies Act and Rules/Regulations made there under

- Timely plan, convene at regular intervals and to finalize agenda and minutes of Board and various Committees of the Companies under the group

- Plan, organize & arrange AGM/ EGM and preparation of Annual Report of the group and all other Companies under the group

- To advise the company management on Companies Act, SEBI Act and Rules / Regulations made there under. To assist in interaction with various Authorities viz. MCA, ,RBI, Company Law Board & SEBI

- To maintain, update & file various statutory records with respect to the various Companies under the group.

- Independently drafting and vetting various agreements entered with clients, business associates, vendors, service providers, land lords, service level agreements with asset management companies, 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.

- Co-ordinate all legal matters pertaining to functions carried out by the entities. Interaction with advocates, solicitors and consultants.

- Assisting in day to day compliances of each business segment and ensuring that all guidelines are implemented in respect of various activities. Bringing the deviations, if any, to the functional heads and facilitating prompt rectification.

- Conduct independent compliance audit or assist in the same.

- Keep abreast of judgments passed by various High Courts, orders passed by the regulatory bodies like SEBI/RBI/Company Law Board etc, and advise the Company about the implications.

- Assist in complex international and domestic fund structures, assist in due diligence process for any M&A or Strategic tie-up etc.

Qualification - Company Secretary (CS) with a Degree in Law

Experience (Specific to any organization):

- Around 6-8 years experience at a similar role in the Financial Services industry.

- He/She should have experience in handling all Legal & Secretarial functions for the organization.

Functional Skills Required

- Computer Proficiency (MS Word, Excel)

Presentation Skills

- Report Writing & Documentation

Sound Knowledge on Key Regulations: SEBI, Brokers, Mutual Funds, Company Act etc

Reporting Relationship - CFO

Please send your resume to ngadodia@askgroup.in