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05/07 Ravi
HR at Ability Unleashed

Views:5311 Applications:94 Rec. Actions:Recruiter Actions:16

Head - Compliance & Legal - BFSI (13-15 yrs)

Mumbai Job Code: 590168

Head - Compliance & Legal

Experience - 13 - 15 years

Location - Mumbai

Reports to:Chief Operating Officer

Education Qualification -CS Mandatory & LLB preferred

Compensation Range:40 Lacs pa

Key Role Responsibilities:

Technical :

- Dealt with SEBI/RBI on matters related to

- Intermediaries registration process

- Inspections

- Change in control approvals
- Handling queries, adjudications, etc

- Overseas broking compliances

- US - Finra and SEC

- Singapore - MAS

- UK - FCA

- Understanding of FPI and AIF regulations

- Understanding of broking, merchant banking, research analyst related regulations

- Experience of setting up and managing funds overseas

- Litigation and commercial contracts

- Basic knowledge of RBI framework for NBFCs and ARCs

Skills :

- Partner with Business, build and maintain strong connections with all stakeholders to deliver solutions that stand the test of regulations (in India and outside of India) yet be business friendly

- Front-ending with Regulators and maintain excellent working relationships

- Team up with consultants and lawyers to maintain licenses, audits and set up processes that suit the law of the land.

- Policymaking 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.

Job Opening with Leading Stock Broking House.

All the interested candidates can forward their updated resumes or call on 9867303334

Ravi Suryawanshi
Ability Unleashed HR
M-9867303334

This job opening was posted long time back. It may not be active. Nor was it removed by the recruiter. Please use your discretion.

Women-friendly workplace:

Maternity and Paternity Benefits

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