We have the following requirement with leading Financial Services Firm   Senior Manager / AVP - Group Compliance & Legal   B. Com + C.S./ CA, LLB will be an advantage with 7 -10 years exp in handling stock broking, Investment Banking, Research Analyst and Offshore regulatory compliance  The role is to :  - Partner with Business (principally the equities business i.e. Institutional Equities, ECM, and M&A), build and maintain strong connections with all stakeholders to deliver solutions that stand test of regulations (in India and outside of India) yet be business friendly  - Front-ending with Regulators and maintain excellent working relationships, handling regulatory inquiries with maturity and without/with limited supervision  - Team up with consultants and lawyers to maintain licenses, audits and set up processes that suit the law of the land. The candidate should be smart (has to) and experienced (preferred) to handle offshore legal and compliance tasks end to end.   - Handle stock broking, Investment Banking, Research Analyst and Offshore regulatory compliances including queries/inspections/audits/business queries   - Assist the HOC in policy making and providing Teach-In sessions to business  - Compliance testing of areas that pose high regulatory risks be it dealing room checks, Insider checks, etc.  - Drafting/vetting of various agreements, side letters, PDAs, engagement letters, PDAs, agreements involved in Equity Capital Markets transaction   Behavioral :   - Decisive and able to own responsibility of the business area assigned   - Excellent communicator   - Ability to deliver projects, end to end  - Ability to influence all stakeholders  - Believes in team play and go-getter  We are looking candidates having above experience from Brokerage / Financial Services / FII firms  Relevant candidates interested may apply along with a brief introduction and compensation drawn  Seema Gandhi  Corporate Search

Mumbai

Senior Manager/AVP - Group Compliance & Legal - CA/CS/LLB - Financial Firm 

Senior Manager/AVP - Group Compliance & Legal - CA/CS/LLB - Financial Firm  ,Job Description for Senior Manager/AVP - Group Compliance & Legal - CA/CS/LLB - Financial Firm  in Corporate Search in  Mumbai for (7-10) years of experience. Apply Now!

Job Description for Senior Manager/AVP - Group Compliance & Legal - CA/CS/LLB - Financial Firm  in Corporate Search in  Mumbai for (7-10) years of experience. Apply Now!