Head HR at SBICAP Securities
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Sr Exec - Legal & Compliance - BFSI (3-5 yrs)
JOB PROFILE
Department & Group : LEGAL AND COMPLIANCE
Position in Company : SENIOR EXECUTIVE LEGAL AND COMPLIANCE
Reporting to : COMPANY SECRETARY CUM COMPLIANCE OFFICER
Reportees : NIL
Key Activities / Accountabilities
1. Submission of various documents to Exchanges i.e. Annual Returns, Annual Compliance Report, etc.
2. Handling of BSE, NSE, CDSL, SEBI, Inspection
3. Co-ordinating & holding board meetings, meeting of committee of directors
4. Liaison with the Exchanges, Depository, SEBI
5. Ensuring Compliance of Rules & Regulations of Exchanges, Depository, SEBI, etc.
6. Handling Investor Grievance of clients.
7. Appearing before NSE, BSE, NSDL, CDSL, SEBI for Investor Grievances, Handling Arbitration matters.
8. Preparing & vetting various legal documents, agreements.
9. Co-ordination with Branch for compliance of rules, bye laws of Exchanges / Depository.
10. Liaison with officials at Registrar of Companies, Depository Participants, NSDL / CDSL, Stock Exchanges, SEBI & other Regulatory Authorities.
11. Ensuring compliances with Anti Money Laundering Act.
Essential Educational Qualification Needed : Graduation / LLB / C.S.
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