Legal & Compliance Role - BFSI

Job Title/ Designation: Legal & Compliance

Skills Required:

Ensure that the business goals and actions comply with all applicable laws, rules, regulations, statutory orders, notifications etc.

Advise management on all legal matters.

Strong domain knowledge of Retail equity markets, Trading platforms, Risk applications.

Experience working on cross product teams and strong interpersonal skills

Job Description:

Compliance:

- To attend to Compliance matters

- To establish and implement regulatory compliance policies, procedures and standards across the Company.

- To monitor adherence to the laid down policies and norms by setting up and implementing an appropriate monitoring mechanism.

- To ensure that all Standard Operating Procedures are implemented by the respective departments/offices.

- To ensure implementation of the PMLA Policy of the organisation.

- To track regulatory changes affecting the business and issue appropriate advices to all concerned for implementation.

- To ensure suitable response to investor grievances received directly or through Exchanges/ depositories/ regulators.

- To ensure that periodical reports required to be submitted to the Exchanges / and the regulators are submitted correctly and within the stipulated time.

- To interact with the Exchange / SEBI /Inspection Teams, coordinate with various departments and furnish the required information/ documents /records.

- Any other work as may be assigned from time to time.

Legal:

- To attend to legal matters

- To provide legal advice/ opinions as and when required

- To draft various documents, agreements, petitions, rejoinders etc.

- To attend to enquiries, arbitration/ adjudication cases, consumer forum cases, civil and criminal litigation etc.