About Company
CareEdge Group: Enabling customers to make informed decisions through best-in-class tools and insights Ratings (CARE Ratings Ltd): One of India’s leading credit rating agencies with a track record of servicing diverse sectors for almost three decades Advisory (CARE Advisory Research & Training Ltd.): Customised advisory services including project appraisal and viability studies and model validations enabling internal decision making
Roles & Responsibility:
- Handling all the compliance related matters from SEBI
- Provide Legal and Compliance advisory to stakeholders from perspective of SEBI regulations
- Handling of work related to code of conduct framed under SEBI (Prohibition of Insider Trading) regulations
- Design system for handling conflict of interest under applicable regulatory regime
- Implement Compliance Tool to track compliances under various regulations
- Exposure to SEBI and RBI liasoning and having good regulatory relationship
- Help organization in handling inquiry/ investigation etc.
- Vetting regulatory communications from Compliance and Legal Perspective
- Liaoning with lawyer and government authorities for legal matters
Skills:
- Proven experience as a Compliance Officer/ Assistant to Compliance officer in Securities/ Capital Markets
- Excellent knowledge of all the Securities Laws
- Exposure to liasoning with SEBI and/or RBI
- Proactive approach toward implementation of regulatory guidelines
- Excellent verbal and written communication skills
- Strong stakeholder management
- Strong negotiation skills
Expeirance – 8-10 years
Qualification: CA/ CS (LLB could be added advantage)
- Candidates with Legal background would be preferred.
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