04/07 Sneha Salvi
HR at Mirae Asset Capital Markets

Views:1705 Applications:122 Rec. Actions:Recruiter Actions:107

Mirae Asset - Team Head - Legal & Compliance (12-18 yrs) Premium

Mumbai Job Code: 716499

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.

Women-friendly workplace:

Maternity and Paternity Benefits

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