13/08/2025) Assistant Manager

4 weeks ago

Thāne, Maharashtra, India 5paisa Full time
About us: 5paisa Capital Ltd. stands at the forefront of India's fintech revolution, offering a comprehensive digital platform for retail investors and traders. With a commitment to democratizing financial services, 5paisa provides a suite of products including Stocks, Futures & Options, Mutual Funds, IPOs, all accessible through user-friendly mobile applications and web platforms. Today 5paisa is a go-to platform for serious traders and investors.

Role Overview: We are seeking a skilled professional with experience in broking industry with excellent communication and drafting skills, to join our Legal team.

Key Responsibilities:

➢ Handling Investor Complaints received from Regulatory Authorities:

• Address and resolve investor complaints received from SEBI / Stock Exchanges / Depositories, etc. efficiently.

• Liaise with stock exchanges for the closure of complaints within stipulated timelines.

➢ Legal Compliance and Documentation:

• Draft, review, and vet agreements (contracts), terms, and conditions, ensuring compliance with regulatory frameworks.

• Maintain and update Investor grievance, Arbitration, Police complaints and other relevant MIS for effective tracking and reporting.

➢ Litigation and Hearings:

• Attend company's conciliation hearings and court matters as required.

• Prepare necessary documentation and maintain records related to ongoing Legal cases.

➢ Liaison and Coordination:

• Act as the point of contact for regulatory bodies such as stock exchanges.

• Ensure periodical compliances with SEBI and other applicable Legal guidelines for Stock Broking companies.

➢ Handling of Police Complaints, enquiries, notices including effectively responding to the complaints appropriately

➢ Advisory to Business teams on the Legal and compliance aspects

Qualifications:

• 2+ years of experience working in Legal department with strong understanding of broking industry regulations, including SEBI norms.

• Excellent written and verbal communication skills for effective correspondence and representation.

• Proficiency in Legal drafting and contract management.

• Strong interpersonal skills to liaise with stakeholders and regulatory authorities.

• Excellent analytical and problem-solving abilities with a keen attention to detail.

What You Can Expect:

• Learning and Growth

Be part of a team that values continuous learning in the Legal and Compliance framework and encourages mentorship. Your journey with us will involve expanding your skill set and shaping your career path.

• Dynamic Environment

Expect a dynamic and challenging work environment where your expertise directly influences the success of our private cloud platform.

• Mentorship and Leadership

Experience a collaborative culture where your contributions matter. Foster a learning environment by providing mentorship and technical leadership.

We value diversity in all its forms — backgrounds, perspectives, experiences — and are committed to building an inclusive environment where every employee feels respected, heard, and empowered to grow. We do not discriminate based on race, religion, caste, color, gender identity or expression, sexual orientation, age, marital status, disability, or any other legally protected status. Our hiring decisions are based on merit, capability, and alignment with our values — always.

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