Head - CS, Legal & Compliance

Industry: Financial Services, Broking Specifically

Work Experience: 15 to 20 years approx.

Critical Skills Required Sound knowledge of Company Law, Compliance and Secretarial Practice. Strong knowledge of SEBI/Exchange rules & regulations

SEBI experience is mandatory

1. The position would be independently in charge of Secretarial, Legal and Compliance Function, responsible to protect the company's reputation and compliance risk

2. Overview drafting, reviewing, negotiating, and settling legal and transactional documents & agreements; Preparing Contracts / Agreements.

3. Overview Preparing Manuals / Policy Documents as may be required. Coordinate with outside Counsel in case any matters are referred to them.

4. Managing Legal, Secretarial, Corporate Governance & Compliance activities

5. Ensure compliance with applicable laws, regulations as well as adherence to internal policies and procedures

6. Undertake research activities to provide inputs on legal matters.

7. Develop effective relationship and engagement with internal stakeholders, international stake holders, clients, business associates and other function groups. Advising on corporate legal and compliance matters.

8. Independent charge of the Secretarial, Corporate legal and Compliance function, responsible to protect the reputation and compliance risk

9. Responsible for complying with all the applicable provisions under the Companies Act, SEBI / Exchange rules and regulations, Prevention of Money Laundering Act, FEMA.

10. Responsible to protect the interest of the company, stakeholders, and directors by complying with the requirements of applicable statutes and monitor the compliance with guidelines applicable to the company

11. Managing secretarial activities such as holding Board and Committee Meetings, overviewing preparation of agenda and minutes, liasoning with sponsors, shareholders, directors, and regulators.

12. Ensuring that the Company is on track with the responsibilities under Company Laws. Ensuring that the returns are filed within timelines and registers are maintained

13. Ensuring that the agreements are vetted thoroughly in the interest of the Company and response are given within agreed period. Coordinating with lawyers and counsels for notices, replies, petitions, etc.

14. Keeping track of legal cases and coordinating for hearings.

15. Managing relationship with Board

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