Sr. Manager- Compliance & Legal | Scrabble
Posted on July 30, 2024
Job Description
- Ensuring compliances with SEBI under the Portfolio Manager, Alternate Investment Fund, FII Rules & Regulations, FEMA, Anti Money Laundering laws and KYC requirements and ensuring that the procedures are followed and regularly reviewed.
- Ensuring secretarial compliances under the Companies Act, 1956 and such other statutes, regulations and guidelines as required and developing good corporate governance practices for the companies. Arranging board/general meetings and prepare minutes thereof. Follow-up on matters where required to ensure that the decisions of the board are implemented
- Drafting and finalizing agreements, documentation with clients and other service providers. Attending to other legal matters of the group.
- Maintenance of secretarial records, statutory books and registers and handling statutory & internal audits. Responding to inspections, regulatory and audit queries as the principal point of contact
- Preparation, filing and registering forms, returns, applications or other documentation as required by and on behalf of the companies
- Handling special assignment relating to Business initiatives to the extent impacting Compliance and Legal affairs.
- Implementing compliance policies and procedures. Conducting compliance trainings for the employees. Dealing with compliance queries raised by employees of various business divisions
- Monitoring personal account dealings of the employees. Conducting restricted area access reviews and compliance audits and helping in the Risk management
- Assisting in fulfilling the registration and licensing requirements of the entities
- Conducting internal compliance review and monitoring activities, including periodic reviews of departments