Posted By

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Yuna Hang

Recruiter at Virtuous Advisors & Resources Private Ltd

Last Login: 24 May 2024

Job Views:  
211
Applications:  33
Recruiter Actions:  31

Posted in

Legal

Job Code

1384290

Assistant Vice President - Legal - Capital Markets - Investment Bank

12 - 15 Years.Mumbai
Posted 2 months ago
Posted 2 months ago

A leading investment banking firm looking to hire Legal experts possessing the following skills:

Job Responsibilities:

1. Vetting Engagement Letters and NDAs for onboarding clients within our Investment Banking business, ensuring compliance with relevant regulations and firm policies.

2. Reviewing and approving vendor-related agreements to mitigate risks and ensure compliance with regulatory requirements.

3. Maintaining and updating the firm-wide restricted list and managing conflicts of interest to uphold ethical standards and regulatory compliance.

4. Conducting training sessions for Investment Banking, Sales, and Research teams on compliance matters related to Initial Public Offerings (IPOs), Follow-On Public Offerings (FPOs), and Qualified Institutional Placements (QIPs) to enhance awareness and adherence to regulatory requirements.

5. Developing comprehensive manuals outlining compliance requirements and procedures to guide staff in adhering to regulatory standards effectively.

Reviewing and approving research reports to ensure they align with regulatory guidelines and internal policies.

Ideal Candidature must possess:

1. Legal Background: LLB/LLM degree from a reputable law school with a strong understanding of regulatory frameworks and compliance requirements.

2. Relevant Experience: At least 12-15 years of experience in handling legal work related to capital markets, either in a reputable law firm specializing in financial regulations or within the compliance department of an investment bank.

3. Analytical Skills: Strong analytical and problem-solving skills with the ability to interpret complex regulations and apply them to practical situations.

4. Communication Skills: Excellent communication and interpersonal skills with the ability to effectively train and educate staff on compliance matters.

5. Budget Max up to 30 LPA.

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Posted By

user_img

Yuna Hang

Recruiter at Virtuous Advisors & Resources Private Ltd

Last Login: 24 May 2024

Job Views:  
211
Applications:  33
Recruiter Actions:  31

Posted in

Legal

Job Code

1384290

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