Chief Operating Officer - Legal - SEBI/Exchanges/Broking/Stock Markets

- Handling day-to-day statutory compliance requirement of all Exchanges & SEBI.

- Take responsibility and initiative in smooth running of all business operations

- Provided effective team management duties, and continuously reshape department best practices to provide highest client satisfaction.

- Provide outstanding leadership to team members, including opportunities for coaching and development, to maximize work output and work quality.

- In-depth knowledge of stock market, broking.

- Interpreting the various circulars issued by SEBI & Exchanges and other authorities like Income Tax, ROC, Service Tax, PF, ESIC etc.

- Responsible for formulation of policies, procedures & guidelines for circulars issued by SEBI, Exchanges and other authorities and systematic periodic review based on the risk parameters

- Carrying out Risk evaluations of various functions and Internal audit of specific functions to establish and strengthen control mechanism

- Drafting and vetting of various business and client documentation

- Independent interactions with external experts, legal counsels, stock exchanges, regulators, auditors, in relation to various activities of the Firm.

- Compliance of Companies Act, Listing Agreement and SEBI Act, Rules, Regulations, Guidelines in relation to the activities of the group. Such compliance, amongst others, includes maintenance of statutory registers and regulatory reporting with Registrar of Companies/ SEBI/ Stock Exchanges as required under various corporate laws,

Guidelines

- Liaising with retainers for all legal matters

- Responsible for standardizing contracts across the firm to the extent possible

- Managing all legal/ arbitration cases, if any, with legal counsels

- Any other task that may be required to be carried out for effectively discharging his/her duties