HR at Mirae Asset Capital Markets
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Mirae Asset - Team Head - Legal & Compliance (12-18 yrs)
Role and Responsibilities :
- Managing, supervision and responsible for the following areas:
- 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.
- 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.