AddressCompliance Officer
- Ensure compliances with respect to SEBI Guidelines pertaining to SAST, AIF including disclosures and FEMA compliances.
- Monitoring changes in relevant legislation and the regulatory environment and taking appropriate action.
- Liaising with legal advisers / consultants and appropriately responding to summons and notices issued by the Regulators and appearing in hearings wherever required to resolve queries raised by stock exchange / SEBI.
- Carrying out periodic reviews to ensure legal compliances of trading membership (like exchange compliances, SEBI compliances, Companies Act)
- Developing and overseeing the systems that ensure the entity complies with all applicable regulations, in addition to its legal and statutory requirements.
- Vetting of regular business agreement to be executed by the organization.
- Assisting in the exchange related compliances as applicable to a SEBI Registered Stockbroker, depository participant.
- Assisting the team in organizing, preparing agenda for and recording minutes of board meetings and general meetings.
- Leading M&A transactions from legal perspective like drafting or reviewing share purchase agreements, shareholders agreements, business purchase agreements, continuous review of compliances by portfolio companies and assisting them wherever required.
