Legal & Compliance Associate/Senior Associate

We are looking to appoint a Legal & Compliance Associate for our Stock broking and Depository Participant business to ensure

that the company follows all rules set by the Securities and Exchange Board of India (SEBI), BSE, NSE and CDSL and handle

day to day corporate legal work.

Core Responsibilities

• Agreements: Deliberate and Finalise legal Agreements, Terms, Documents, applications etc with vendors/agencies
• Notices: Draft responses to legal notices and HR matters. Issue notices to parties for breaches.
• Ensure the company is safeguarded from legal risks
• Regulatory Reporting: File mandatory daily, quarterly, and annual reports with the National Stock Exchange (NSE) and Bombay Stock Exchange (BSE) and Central Depository Services Limited (CDSL).
• Client Onboarding: Review Know Your Customer (KYC) documents and ensure the Accounts are opened in confirmation of KYC guidelines and AML checks for new clients.
• Audit Management: Assist with internal, external, BSE, NSE, CDSL and SEBI-appointed auditors. Finalise audit reports in coordination with auditors
• Investor Grievances: Handle and resolve client complaints in a time bound manner
• Surveillance: Monitor internal and alerts received from BSE, NSE and CDSL and take action

Key Skills Required

• Regulatory Knowledge: Deep understanding of Legal, SEBI, Stock Exchange, and Depository circulars.
• Portal Navigation: Experience using Exchange member portals (like ENIT) and CDSL auditweb portal.
• Communication: Ability to write clear responses and talk directly with regulatory officials.

Common Qualifications

• Education: Degree in Law, Commerce or Finance (LLB, LLM, B.Com, MBA).
• Certifications: National Institute of Securities Markets (NISM) Compliance certifications (III series) - preferred.

Experience

• 5 to 10 years hands on experience in Legal/Compliance department with a Stock Broker and / or Depository Participant

Office Location

• Chembur, Mumbai