Am/dm Legal Capital Markets

5 days ago

Mumbai, India TVS Industrial & Logistics Parks Full time

**AM/DM Legal Capital**
**Markets**
**JOB DESCRIPTION**

**Job Title**
AM/DM - Legal Capital Markets

**Key Specifications**:

- Handling Legality with respect to SEBI (Merchant Banking)
Regulations, 1992; SEBI (Prohibition of Insider Trading) Regulations,
2015 and other applicable rules, regulations, bye-laws, guidelines, and
circulars issued by SEBI.

Preparing formal letters/correspondences for submission to SEBI.
Checking of Circulars/Notices of SEBI, NSE, BSE, and MSEI and
preparing a summary of the relevant Circulars/Notices.
Preparing a summary of relevant SEBI Orders.
Checking of Surveillance alerts on various statutory platforms like
ENIT, Member Surveillance Dashboard, E-BOSS, and BEFS.
Reporting of suspicious transactions.
Handling quarterly and half-yearly, yearly compliances and
circular-based compliances relating to the stock broking activity
of the company.
Filing of Annual Returns with the Stock Exchanges.
Co-ordinating with external & Internal teams for procuring all
documents related to financial compliances
Verifying the documents and procuring additional documents
from concerned associates.
Coordinating with the local advocate and effectively proceeding
and concluding with the due diligence process.
Be updated with the latest laws and judgments related to the
Responsible for issuing and replying to Legal notices
Capable of effectively negotiating with the prospective
Client/prospective Clients Advocate in concluding the transactions
Company acquisition and merger, drafting of documents such as
Share transfer agreements, Escrow agreements, etc., and banking
financial transactions such as loan agreements and other
mortgage documents, etc.
Experience in drafting and Vetting Contract Agreements,
Addendum, Supplemental agreements, Amendment agreements,
and other documents viz. NDA, Commercial Agreements, Term
Sheet, Letter of Intent, etc.

Be updated with the latest laws and judgments related to the
Tracking status/ outcomes of the cases filed by/ against the
company
Maintenance of case lists, records, and MIS with updating of cases
Providing legal inputs, guidance, feedback, and advice on all legal
matters
Day-to-day correspondence.

**Key Requirement**:
**Education**: LLB/ LLM, CS, BCom/ BFI/ BMS/ BAF/ BBI/ BFM/ BBA

**Experience**:
Handled a client base of NBFC/ BFS/ M&A/ Fundraising/ Listing
Companies
Relevant experience of around 5-6 years
Should be ready to travel to PAN India
Good Communication and Presentable personality
Willing to deal and liaison with government officials, wherever &
whenever required.***

**Work Location**: Lower Parel

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