Sr Exec - Legal & Compliance - BFSI

JOB PROFILE

Department & Group : LEGAL AND COMPLIANCE

Position in Company : SENIOR EXECUTIVE LEGAL AND COMPLIANCE

Reporting to : COMPANY SECRETARY CUM COMPLIANCE OFFICER

Reportees : NIL

Key Activities / Accountabilities

1. Submission of various documents to Exchanges i.e. Annual Returns, Annual Compliance Report, etc.

2. Handling of BSE, NSE, CDSL, SEBI, Inspection

3. Co-ordinating & holding board meetings, meeting of committee of directors

4. Liaison with the Exchanges, Depository, SEBI

5. Ensuring Compliance of Rules & Regulations of Exchanges, Depository, SEBI, etc.

6. Handling Investor Grievance of clients.

7. Appearing before NSE, BSE, NSDL, CDSL, SEBI for Investor Grievances, Handling Arbitration matters.

8. Preparing & vetting various legal documents, agreements.

9. Co-ordination with Branch for compliance of rules, bye laws of Exchanges / Depository.

10. Liaison with officials at Registrar of Companies, Depository Participants, NSDL / CDSL, Stock Exchanges, SEBI & other Regulatory Authorities.

11. Ensuring compliances with Anti Money Laundering Act.

Essential Educational Qualification Needed : Graduation / LLB / C.S.