Key Responsibilities:
- Monitoring and ensuring full adherence to SEBI and other statutory regulatory frameworks.
- Drafting, reviewing, and negotiating legal agreements and business contracts.
- Managing litigation and regulatory responses in coordination with external counsels.
- Designing and implementing internal policies exceeding minimum compliance thresholds.
- Conducting regular audits and generating reports for internal and regulatory stakeholders.
- Leading compliance risk assessments and mitigation strategies in collaboration with the risk team.
- Driving compliance awareness across the organization through training and engagement.
- Leading a team to ensure seamless legal and compliance operations.
Educational Qualifications and Experience:
- Candidates must be qualified Company Secretary (CS).
- LL.B. is ideal; CA or B.Com is an added advantage.
- 12-15 years of experience in legal and compliance roles, preferably within mutual fund companies or broking houses.
- Strong expertise in SEBI regulations, compliance, internal governance, and policy implementation.
- A proactive leader with strong interpersonal skills and business acumen.
