17 Jan 2025
sonX
Compliance Legal & Secretarial - Investment Banking , 2 to 4 years in Mumbai
Mumbai
3-4 Years
Company Secretary, Compliance, Companies Act, SEBI, SEBI Regulations, Legal Compliances, Investment Banking
Job Description
Position: Compliance Legal & Secretarial - Investment Banking
Qualification: CS or CA with a degree in Law (preferred)
Experience: 2 to 4 years
Location: Mumbai
Job description
RESPONSIBILITIES & TASKS: ( Key Responsibilities & tasks carried out by the Position in line with Job Objective )
Qualification: CS or CA with a degree in Law (preferred)
Experience: 2 to 4 years
Location: Mumbai
Job description
RESPONSIBILITIES & TASKS: ( Key Responsibilities & tasks carried out by the Position in line with Job Objective )
- Tracking, analysing and implementing laws, rules, regulations and circulars applicable to the Investment Banking (Merchant Banking) business
- Drafting and implementing compliance policies & procedures and monitoring adherence to the same
- Liasoning and co-ordinating with SEBI and other regulators (as required), submission of periodic and event based reports with SEBI
- Working closely with the Corporate Finance and Execution team to resolve their queries
- Drafting and reviewing engagement letters, agreements, documents, etc.
- Co-ordinating with legal counsels for legal support, opinions and clarifications
- Liasoning with internal auditors and statutory auditors
- Efficiently handling regulatory queries, inspections, investigations, etc.
- Conducting employee trainings and organising compliance awareness programs
- Arranging and conducting Committee meetings, maintenance of minutes, etc.
- Assisting in managing the overall compliances related to Investment Banking business
CORE SKILLS & EXPERIENCE REQUIREMENTS
- Good Analytical abilities
- Working knowledge of SEBI regulations
- Inter personal skills, good & clear communication
- Logical & well defined thought process