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Employer at Peoplenomic
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Head - Compliance - Merchant Banking (12-20 yrs)
- Seasoned Compliance Officer with over 12 years of experience in the field of Corporate Compliance, Legal and Corporate Secretarial matters.
- Passionate problem solver.
- Ability to interpret and apply rules with attention to big picture.
- Proactive evaluation of regulatory compliance issues and take appropriate steps to implement effectively and having a stakeholder centric approach
- Responsible for overall Country Compliance matter pertaining to its Stock Broking and global Investment Banking, Research activities and adherence to several Core Compliance Policies, Process, Standards
- Responsible for handling matters pertaining to Group Compliance, Group Legal and Group Corporate Secretarial matters
- Leading the legal function for the Investment Banking, Brokingnd
- Expertise in transaction advisory, contract drafting, investment banking compliances, IPR, domestic and cross border transactions, securities market and general corporate advisory.
WORK EXPERIENCE:
- Involved in carrying out due diligence, reviewing of definitive and offering documents for IPOs, FPOs, Rights Issues, QIPs, Open Offers, Buy-Back Offers and Private Equity investments, M&A transactions. Co- ordinating with the internal teams and intermediaries, legal advisors, Stock Exchanges, SEBI etc., to ensure successful closure of each assignment.
- Assisting the Finance teams in drafting, reviewing and vetting of loan documentation; structured debt financing and debt capital markets issues.
- Drafting contribution agreements, trust deeds, investment management agreements pertaining to fund formation and fund investments.
- Drafting and reviewing non-disclosure agreements, engagement letters, licensing agreements, non- compete agreements, employment, consultancy agreements, technology/ SaaS contracts. Drafting and reviewing cease and desist notices and other communications in respect of IP Infringements.
- Drafting and implementing standard operating procedures, applying effective risk management
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