Legal and Compliance Officer - Securities Law

Job Description

Job Title: Legal & Compliance Officer Location: Mumbai ( Prabhadevi) Company: Gretex Share Broking Pvt. Ltd. Department - Share Broking Education: CS + PG Diploma in Securities Laws or LLB + PG Diploma in Securities Laws Experience: 5 years preferred Key Responsibilities: * Provide legal advice and ensure compliance with SEBI, NSE, BSE, and NSDL regulations. * Draft, review, and manage contracts and legal documents. * Handle inspections from SEBI, Exchanges, and DP; prepare reports and responses. * Address investor complaints and regulatory queries. * Monitor and report on internal compliance, KYC, due diligence, and transaction alerts. * Coordinate certifications, internal training, and policy implementation. Manage periodic regulatory filings and audits. Skills Required: * Strong legal and compliance knowledge in the financial sector. * Excellent drafting, communication, and coordination skills. * Detail-oriented with the ability to manage multiple stakeholders Show more Show less