Role and Responsibilities : - Managing, supervision and responsible for the following areas: - Compliance - Legal - In depth knowledge of the compliance, legal and secretarial functions of Merchant Banking division and Institutional Broking division of the company. - Adhering to compliances of NSE, BSE for proprietary trading, institutional equity broking, debt investments/trading, etc. - Adhering to the SEBI Merchant Banking regulations and compliance of the same. - Acting as the designated Compliance officer for Stock Broking Division. - Interacting with the statutory authorities for approvals & clarifications - Arrangements for Board Meetings, Committee meetings. - Compliances with PMLA guidelines, etc. - Handling of Statutory Audit, SEBI Audit, Internal Audit, etc. - Handling all the secretarial functions of the company. Qualification : - A.C.S/F.C.S (Associate/Fellow member of The Institute of Company Secretaries of India) - LL.B. (Bachelor of Laws) - B.Com (Mumbai University) - 12-18 years of experience in the field of Compliance, Risk, Legal and Secretarial in Stock Broking, Investment Banking or Mutual Funds. - Ability to handle the compliance and legal functions independently - Exposure to Operations risk review & audit - Strong analytical bent of mind. - Sound communication and Interpersonal skills - Process oriented.

Mumbai

Mirae Asset - Team Head - Legal & Compliance 

Mirae Asset - Team Head - Legal & Compliance  ,Job Description for Mirae Asset - Team Head - Legal & Compliance  in Mirae Asset Capital Markets in  Mumbai for (12-18) years of experience. Apply Now!

Job Description for Mirae Asset - Team Head - Legal & Compliance  in Mirae Asset Capital Markets in  Mumbai for (12-18) years of experience. Apply Now!