Senior Compliance Manager Senior Compliance Manager with verification
Role :- Compliance Senior Manager
Qualification :- CS and LLB/Other professional courses such as NISM, Securities Law Course of Government Law College.
Relevant Industry :- BFSI
Job Description :
Compliance and Regulatory Functions:
Drafting of replies and correspondences with regulatory authorities
Monitoring and ensuring compliance with applicable laws including SEBI Regulations, Circulars, guidelines, Company Law, Information Technology laws, Data Privacy Laws, Business laws, Labor laws, etc.
Coordinating with the various departments and helping them in all compliance matters
Remain updated on various new laws, amendments of existing laws, circulars, notifications, etc. and report to the management
Drafting, and reviewing various policies and standard operating procedures of the organization.
Legal research on various laws, framing views and opinions and providing legal advice to other departments.
Assistance in handling investor complaints, litigations and other disputes.
Assistance in handling internal audits, external audits, and regulatory inspections.
Contract management
Drafting & vetting of various agreements such as service agreement, leave and license agreement, non-disclosure agreements.
Negotiating contracts with counterparties
Monitoring renewal of contracts
Profile of the candidate - 9+ years of financial professional experience in compliance management in a company relating to securities market such as Stock Exchange, Clearing Corporation, Stock Broker, Depository Participant, etc.
Essential:
Sound knowledge of Securities Laws, Corporate Laws, Business Laws and various compliances applicable to a company.
Good Communication skills
Superior drafting skills
Computer and technology skills – should be able to use software and IT technology for generating efficiency in compliances and contract management.
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