Legal & Compliance Role – BFSI (3-7 yrs)

Principal Accountabilities : Accountability Supporting Actions- Execute duties of compliance officer as required by regulation

1. Ensure all regulatory compliances are met

2. Meeting Anti-money laundering compliances as specified from time to time

3. Report periodically to the board of directors

4. Ensure compliance with the marketing aspects, such as disclaimers, etc

5. Ensure minimum turn around time with respect to all new business initiatives

6. Review offer documents, fund structures, etc from a legal perspective.

Comply with the provisions of the Companies Act and report on corporate governance :

1. Liaise with Corporate Secretary to ensure all Company Law requirements are fulfilled

2. Gaining approval from the board with regard to corporate governance

3. Periodical reporting to the board on the developments as part of corporate governance

4. Facilitate and co-ordinate compliance and legal related training programmes for employees on a quarterly / semi-annual basis

5. Conduct training / seminars to communicate compliance requirements and legal regulations

6. Ensure secure internal systems and processes and a risk free work environment

7. Ensure setting up secure internal systems and processes for a safe work environment reducing external and internal risks

8. Bloomberg and other System Support

9. Assist set up Fund limit restriction via Bloomberg and other related regulatory requirements.

10. Monitoring of Voice recording check