Group Head - Compliance & Legal - Financial Services - LLB

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 Summary:

- 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%

Job Description:

Key Responsibilities:

- 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