Head of Legal Compliance Head of Legal Compliance
· Ensure compliance with SCRR, FEMA, SEBI, Companies Act and other applicable laws, regulations, and guidelines governing stock broking and investment activities.
· Review of periodic legal compliances of trading membership (like stock exchange compliances, SEBI compliances)
· Monitor changes in legislation and regulatory requirements, advising the organization on necessary adjustments.
· Interact with regulatory authorities and maintain strong relationships to stay abreast of regulatory developments.
· Prepare and submit regulatory filings and reports as required by relevant authorities.
· Responsible for handling notices, summons, issued by various regulators like National stock exchange, SEBI with respect to matters pertaining to investment in listed entities. Liaising with senior counsels to appropriately prepare for litigations, response to notices, etc.
· Summarizing the key findings for effective discussion with management and providing suggestions in matter of compliances to the leadership team.
· Drafting and reviewing transaction documents like, term sheets, shareholders’ agreement, share subscription agreements, MOUs, JV agreements, employment agreements, etc.
· Carry out legal due diligence of target listed / unlisted companies and liaise with external legal firms in relation to transaction documents.
· Carrying out periodic review of Investee companies’ legal compliances and highlighting key / sensitive matters.
Legal Fundamentals