Ambit - Senior Manager/AVP - Compliance & Legal

Designation: Sr Manager/AVP

Business : Business Enterprise Group(BEG)

Department : Compliance & Legal

Reports to: Head of Compliance & Legal

Education Qualification: At least B. Com + C.S./ CA, LLB an advantage

Desired Traits:

- Decisive and able to own responsibility of the business area assigned

- Excellent communicator

- Ability to deliver projects, end to end

- Ability to influence all stakeholders

- Believes in team play and go getter

Key Role Responsibilities:

- Partner with Business (principally the equities business i.e. Institutional Equities, ECM and M&A), build and maintain strong connect with all stakeholders to deliver solutions that stand test of regulations (in India and outside of India) yet be business friendly

- Front ending with Regulators and maintain excellent working relationships, handling regulatory enquiries with maturity and without/with limited supervision

- Team up with consultants and lawyers to maintain licenses, audits and set up processes that suit the law of the land. The candidate should be smart (has to) and experienced (preferred) to handle offshore legal and compliance tasks end to end.

- Handle stock broking, Investment Banking, Research Analyst and Offshore regulatory compliances including queries/inspections/audits/business queries

- Assist the HOC in policy making and providing Teach In sessions to business

- Compliance testing of areas that pose high regulatory risks to Ambit, be it dealing room checks, Insider checks, etc.

- Drafting/vetting of various agreements, side letters, NDAs, engagement letters, NDAs, agreements involved in Equity Capital Markets transaction