Senior Manager - Compliance & Legal - BFSI

Job Description:

Key Skills:

- Excellent verbal and written communication.

- In-depth knowledge of the Companies Act, 1956, SEBI guidelines on PMS, AIF, Foreign Exchange Management Act, Anti Money Laundering laws and KYC requirements.

- Enthusiasm and drive to spearhead the compliance function of the company almost independently and under the guidance of the reporting manager wherever required.

- Ability to drive the legal & secretarial function with required support from legal, secretarial consultants and under the guidance of the reporting manager wherever required.

- Fine balance between compliance and business requirements. Fine mix of humility and aggression.

- Ability to evaluate proposals/ deals from multi point/comprehensive perspective.

- Assisting the reporting manager to do compliant way of doing business within the framework of law.

Role & Responsibilities of the Position in brief:

- Ensuring compliances with SEBI under the Portfolio Manager, Alternate Investment Fund, FII

- Rules & Regulations, FEMA, Anti Money Laundering laws and KYC requirements and ensuring that the procedures are followed and regularly reviewed.

- Ensuring secretarial compliances under the Companies Act, 1956 and such other statutes, regulations and guidelines as required and developing good corporate governance practices for the companies.

- Arranging board/general meetings and prepare minutes thereof. Follow-up on matters where required to ensure that the decisions of the board are implemented

- Drafting and finalizing agreements, documentation with clients and other service providers.

- Attending to other legal matters of the group.

- Maintenance of secretarial records, statutory books and registers and handling statutory & internal audits. Responding to inspections, regulatory and audit queries as the principal point of contact

- Preparation, filing and registering forms, returns, applications or other documentation as required by and on behalf of the companies

- Handling special assignment relating to Business initiatives to the extent impacting Compliance and Legal affairs.

- Implementing compliance policies and procedures. Conducting compliance trainings for the employees. Dealing with compliance queries raised by employees of various business divisions

- Monitoring personal account dealings of the employees. Conducting restricted area access reviews and compliance audits and helping in the Risk management

- Assisting in fulfilling the registration and licensing requirements of the entities

- Conducting internal compliance review and monitoring activities, including periodic reviews of departments

- Assist in developing global compliance practices and procedures