About the company
The Organization is a Broking arm of one of the largest Financial Institutions in India. They offer a wide spectrum of Capital Market solutions covering Equities, Corporate deposits, Insurance, Thematic stock baskets, Bond investing, and much more, and endeavor to make the stock market investment accessible to every Indian. Their approach is to offer personalized solutions and execution expertise to the clients
Location: Pune
Experience: 12+ years of experience in a legal role within the financial services industry, with expertise in Capital Markets / Stock Broking or related sectors.
Education: LLB from a recognized institution, additional qualifications such as Company Secretary (CS) or Master of Laws (LLM) preferred.
Roles and responsibilities:
Responsible for overseeing all legal matters and ensuring compliance with relevant laws and regulations within the Capital Markets industry in India. Role will involve managing legal risks, contract negotiations, litigation, regulatory liaison, policy development, stakeholder management, policy advocacy, and legal support for all internal and external transactions.
- Legal Compliance: Ensure compliance with all relevant laws, regulations, and guidelines applicable to the stock broking industry in India, including SEBI regulations, Gift City, Company Law, and other regulatory requirements.
- Risk Management: Identify legal risks and develop strategies to mitigate them, including drafting policies and procedures to ensure regulatory compliance and minimize legal exposure.
- Contract Management: Review, negotiate, and draft various contracts and agreements, including client agreements, vendor contracts, and other legal documents.
- Litigation Management: Manage all legal disputes, including litigation, arbitration, and regulatory investigations. Liaise with external legal counsel as necessary and represent the company in legal proceedings.
- Regulatory Liaison: Serve as the primary point of contact for regulatory authorities, ensuring timely and accurate responses to inquiries and filings.
- Legal Advisory: Provide legal guidance and support to all departments within the organization, including Compliance, Risk Management, Operations, and other matters requiring legal assistance.
- Policy Development: Develop and implement internal policies and procedures to ensure legal compliance and promote best practices across the organization.
- Stakeholder Management: Build and maintain effective relationships with internal stakeholders, including senior management, department heads, and external stakeholders such as regulators, legal advisors, and industry associations.
- Policy Advocacy: Monitor legislative and regulatory developments impacting the stock broking industry and advocate for favourable policies that support the company's business objectives.
- Corporate Transactions: Provide legal support for corporate transactions, including capital raising activities, IPOs, ensuring compliance with legal and regulatory requirements.
