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AM SP Compliance


Edelweiss Global Markets


Location

Mumbai | India


Job description

Job Description

Rev. No:

Doc. No:

Owner:

Emp Id:

Email Id:

Basic Information

Position Title

Assistant Manager

Grade/Level

Assistant Manager

Department

GM Governance & Compliance

Location

EH, Mumbai

Business

Global Markets

Number of Units in Business

N/A

Total Headcount (Direct) Supervised

0

Total Headcount (Direct / Indirect) Supervised

0

Organizational Relationships

Position reporting to

Vice President - GM Governance & Compliance

No. of Direct Reports

0

Job Purpose

  • The role is expected to ensure business adherence to the Company's Regulatory and compliance framework
  • including managing the end-to-end issuances of the various debt instruments viz Market Linked Debentures (MLDs) and Non-Convertible Debentures (NCDs) ('Structured Products') issued by the group The role is also expected to impart new regulatory change to the stakeholders and monitor compliance with-in regulatory nuances

Key Responsibilities

Functional Responsibilities

  • Reviewing/Drafting various disclosure documents, undertaking for the Structured Products and ensuring timely implementation of various regulatory changes
  • Reviewing/Drafting of various Structured Product transaction documents, viz Debenture Trust Deed, Security documents
  • Reviewing/Drafting of various Resolutions and Minutes and other related documents pertaining to the Debt instruments
  • Designing systems / processes for carrying out various processes with-in the compliance framework
  • Responsible for vetting and executing business agreements, like distributor agreement, NDAs etc. and ensuring contractual obligations.
  • Handling debt listing process with the Stock exchanges and liaisoning with stock exchange for any listing related queries.
  • Compliance reporting pertaining to the issue and listing of the Structured Products regulated by SEBI, MCA, Stock Exchanges, Debenture Trustee Regulations and RBI
  • Active Engagement in various tech related developments of the Company

Qualifications

Job Requirements

Qualified Company Secretary with LLB as added advantage

Experience

2-4 years

Functional Competencies

  • Well versed with Companies Act, 2013, SEBI (LODR), SEBI (NCS) Regulation Debenture Trustee Regulation applicable for issuance and listing of Non-Convertible Debentures for Corporate and NBFC Companies
  • Understanding of various laws viz KYC AML, data protection etc
  • Understanding of the various laws, rules & regulations with respect to MCA, SEBI & RBI, Depository guidelines etc.
  • Updated on regulatory developments pertaining to Companies Act, SEBI (NCS) Regulation pertaining to issuance of the Non-Convertible Debentures
  • Good drafting skills, good working knowledge of MS office
  • Experience in handling Secretarial Matters
  • Implementing and monitoring compliance on a day-to-day basis

Behavioral Competencies

  • Good Soft skills
  • Solution oriented
  • Ability to work with other team members and maintain harmony within the team

Key Interactions

Internal

Nature or purpose of interaction

Sales & Sales Trading Team

  • To understand different types of products & the underlying and issuances to be handled

Governance

  • Discussion and co-ordination with group entities Governance Team on various debt issuance matters.

Group Compliance

  • Collaborating on various new products initiated by Business

Operations Team

  • Ensuring compliance of operational activity within regulatory and internal timelines

External

Nature or purpose of interaction

Stock Exchange, Depositories, RTA, RBI, SEBI

  • Regulatory matters and execution of corporate actions and listing related matters

Debenture Trustee

  • Regulatory and reporting matters


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