Director at Global Headhunters
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Group Head - Compliance & Legal - Financial Services - LLB (9-15 yrs)
Company: A leading and diversified financial services group with presence across Investment Banking, Institutional Equities and Asset Mngt
Role : Head-Group Compliance & Legal
Role Objective: The role holder will focus primarily on SEBI Compliances across business lines and provide legal advice/counsel to the business heads.
- Role: Head - Group Compliance & Business Legal
- Designation: Open- depending upon experience and seniority
- Reporting to : CFO and Board
- Location: Mumbai
- Task apportionment: Compliance 60%, Legal 40%
- Advice all SEBI regulated businesses on on-going requirements, broadly; attend to business/operations queries, ensure conduct of activities are as per the regulations, any changes resulting in regulatory approvals, applications for new activities/businesses, regular compliance checks of BAU, employee trading, client on-boarding, implementation of circulars, etc.
- Conduct compliance testing of areas that pose high regulatory risks - dealing room checks, insider trading/front running checks, record maintenance, etc.
- Conduct impact assessments of new regulations/circulars/guidelines and guide business and operations in implementing the changes
- Ensure all periodic and ad-hoc regulatory filings are submitted correctly and in time
- Streamline and improve existing compliance and operational processes
- Draft, revise and keep updated the internal and mandated regulatory policies
- Drafting/vetting of various agreements, side letters, NDAs, engagement letters involving the group companies- interests
- Advice the group companies on general laws
- Handle regulatory audits and inspections
- Draft, negotiate, finalize business contracts including client and vendor contracts across various businesses
- Coordinate with other shared services teams on collaborative tasks
Qualifications, skills & experience:
- LLB with Company Secretary, preferred
- Experience: 9 + years in capital markets
- Good knowledge of applicable SEBI regulations and related compliances
- Liaison with external agencies, viz., Stock Exchanges, Depositories, SEBI, etc.
- Should be able to articulate the queries well and provide satisfactory solutions to business while ensuring compliance with applicable regulations
- Good communication skills and Team Management
- Multi-tasking, while being able to manage time and priorities